Administering a compliance program requires careful coordination between regulatory support and operations. The activities required to assess and maintain a firm’s compliance status involve constant interaction between Gordian consultants and their clients. Tracking dates for preparing and submitting regulatory forms, managing amendments, conducting audit reviews etc. were all being managed in disparate systems with no single view of the customer resulting in redundant work and lost opportunities to scale.

Accellor developed a compliance management solution on Salesforce for consultants and the operations team to manage the entire customer lifecycle starting from preparing and submitting SEC and State registrations, maintaining compliance policies and procedures, filing various amendments through the year and establishing a seamless workflow process, to tracking, assigning, and managing all activities relating to audit, review and monitoring of the compliance program for Broker-Dealer and Investment Advisory professionals.

The workflow efficiency between consultants and operations team to manage a client’s end-to-end compliance program is targeted to increase by 70%, effective communication with stakeholders by 40%, and scale of operations by 65%