Overview

RegEd’s Compliance Questionnaires is an enterprise SaaS module that helps financial services firms design, distribute and manage annual compliance questionnaires and other regulatory surveys. The solution pre-populates representative data from regulator feeds, supports configurable multi-stage workflows that mirror firm hierarchies, flags high-risk questions, and provides status dashboards, automatic alerts and reporting to help close the compliance loop and demonstrate regulatory oversight.

Features and Capabilities

• FINRA integration: FINRA WebEFT data pre-population reduces manual entry and lets reps confirm on-file data.
• Sophisticated workflow: Configurable multi-stage workflows (review, multiple approvers, sign-offs) that mirror firm hierarchy and operational processes.
• Risk identification & flagging: Ability to flag individual questions or entire questionnaires to prioritize critical compliance review and escalation.
• Transparency & status tracking: Centralized status views, automatic alerts on deficiencies, and reporting to track remediation and attestation completion.
• Turnkey regulatory content: Pre-built questionnaire templates and SME-developed content mapped to regulatory requirements and industry best practices.
• Pre-audit / PAQ support: Pre-audit questionnaire functionality streamlines audits and reduces manual transfer of information across teams.
• Scalability & enterprise deployment: Designed for large broker-dealers and enterprise compliance programs; widely adopted across major firms.
• Reporting & analytics: Weighted ranking and reporting to identify outliers, deficiencies and trends across the enterprise.
• Records & retention compliance: Supports SEC/FINRA-compatible electronic recordkeeping and audit trails for regulatory compliance.
• Platform integration: Part of RegEd’s unified compliance suite, integrating with modules for advertising review, branch audit, policies & procedures and complaint management.