Full trading compliance

Integrated data consolidation

Holistic views of client holdings and transactions

Northwest Investment Advisors needed a simple way for its advisors in the field to submit new business to compliance for review, provide advisors with access to all their clients’ holdings and transactions, and effectively meet FINRA audit requests.

Challenge

Ineffective submission of new business from the field and disparate client data made it difficult to quickly access data and run reports to meet FINRA audit requests. 

Solution

Northwest Investment Advisors uses Sycamore’s Compliance Manager integrated with Cirrus Data Solutions and Advisor Exchange to consolidate data, and Sycamore’s custom Salesforce compliance tools for efficiently submitting and approving new business, automatically flagging non-compliant transactions, and running instantaneous FINRA reports.

Impact

Compliance Manager provides complete views of all client holdings and transactions, ensures full compliance with all trading activity, and reduces the likelihood of FINRA warnings and/or fines

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