Overview

RegEd Employee Compliance Dashboard (part of the RegEd SCORE Risk Control Center) is a cloud‑based compliance management solution tailored for financial services firms (e.g. broker‑dealers, insurers, banks). It aggregates compliance data — licensing, registration, continuing education, external requirements — for each employee into a unified dashboard. This enables firms to track tasks and upcoming deadlines, manage regulatory and licensing obligations, and ensure firm-wide compliance.

Features and Capabilities

• Consolidated Compliance View: Single‑pane view per employee covering license status, appointments, continuing education, FINRA/exam info, external requirements, advertisements & notifications.
• Task & Deadline Management: Built‑in alert icons, notifications and email reminders to highlight outstanding compliance tasks and upcoming deadlines for each representative.
• Advanced Employee Lookup: Managers can quickly search and view dashboards of employees within their span of control to review compliance status or perform maintenance.
• Manager Oversight Widgets: Custom manager‑centric widgets to supervise both registered and non‑registered personnel populations.
• Enterprise‑wide Integration: Part of a broader compliance suite — integrates with other compliance modules (Registration & Licensing, Outside Business Activities, Advertising Review, etc.) to centralize compliance data across the firm.
• Flexible Hierarchy & Dashboard Config: Supports complex organizational hierarchies (firm, branch, region, individual), and allows customizable dashboards and views per hierarchy level.
• Reporting & Audit Readiness: Enables on‑demand or templated reporting to satisfy internal or regulatory stakeholder requests; helps firms demonstrate compliance status and readiness.