Overview

RegEd’s Enterprise Compliance Dashboard (part of the RegEd platform) is a cloud‑based compliance management solution designed to give firms a unified, real-time view of regulatory, licensing, education, advertising and risk-related obligations across the organization. It consolidates data from multiple compliance modules — such as disclosures, registrations, advertising review, outside activities, training, audits and more — into configurable dashboards, enabling firms to track compliance status, monitor trends, and proactively manage corporate and employee‑level risks.

Features and Capabilities

• Customizable Dashboards: Create tailored dashboards with key compliance metrics, configure views by firm, region, branch or individual.
• Aggregate Compliance Data: Consolidates data across modules — licensing/registration, advertising review, outside business activities, complaints, disclosures, questionnaires, audits — to centralize compliance information.
• Trend Analysis & Risk Monitoring: Analyze behavior and compliance trends over time (by employee, branch or region) to spot negative patterns or compliance risks early.
• Complex Hierarchy Management: Supports hierarchical organizational structures (firm — region — branch — individual) for reporting and oversight.
• Unified Employee & Enterprise Views: Offers both enterprise‑level oversight and individual/employee‑level compliance dashboards, enabling managers and compliance officers to monitor obligations and statuses at all levels.
• Regulatory & Licensing Oversight: Integrates licensing, registration and regulatory obligations (e.g., for brokers, advisors, insurance agents), enabling firms to manage credentialing, appointments, registrations, renewals, continuing education, etc.
• Compliance Programs & Workflow Automation: Automates tasks such as disclosures, compliance questionnaires, audits, training, outside business activity disclosures, conflicts‑of‑interest tracking, complaint management — reducing manual effort and ensuring regulatory compliance.
• Regulatory Change & Document Management: Helps firms adapt to changing regulations, manage policies and procedures, track regulatory changes, and maintain audit trails and archival records.
• Integration & Scalability: Part of RegEd’s enterprise platform serving banks, broker‑dealers, insurers, registered investment advisers and other regulated firms — supports large user volumes, complex organizations, and diverse regulatory regimes.