Robust Compliance Tools To Manage Your Team
Bridging the gap between compliance teams and financial advisors.
Review With Confidence
Enjoy tools designed to make you a great marketer while meeting every aspect of your regulatory responsibilities.
- Receive automatic notifications of new changes
- Gain access to a private website URL and print-friendly documentation
- Quickly identify content differences with our compare tool
Request and Approve Changes
Rest easy knowing that your advisors submitted changes won’t be published until a compliance officer from your team approves them first.
- Quickly identify rejected and approved changes at a glance
- View a page by page breakdown of all requested changes
- Easily organize your feedback into notes from your dashboard
Communicate Clearly
Our tools help open the lines of communication for advisors and compliance officers.
- Visual calendar makes it easy to search through an advisor's archived changes
- Talk directly in-app with all of your advisors
- Easily send attachments and view the entire chat history or download an archive of it at any time
Build Your Team
As your team grows, our platform scales with you and helps streamline your workflow.
- Create unlimited officer accounts and optionally assign advisors
- Work individually or as a team
- Quickly delegate and edit advisors from your dashboard
Dive Deeper Into Compliance Core
Ready to take your team to the next level?
Compliance Core takes the headache out of managing hundreds of advisors' websites and content updates. It allowed us to define a workflow with two separate compliance teams, so our team can triage and share reviews between groups. We love that we can provide feedback to advisors in real time via the in-app chat, and that we can easily bulk review, approve and reject content from the library (plus add in our own, Broker-specific content for only our advisors to use if they wish). Plus, not only can our advisors access their own archives if they get audited, but as the enterprise managing these advisors, we can access them as well to ensure compliance, meet our regulatory requirements and have everything we need for any internal or external audit. Plus, Twenty Over Ten has an incredibly responsive support team. They resolve issues and add features at a lightning pace. Compliance core has truly given us a means to be efficient and effective with a compliance workflow that puts our advisors at ease knowing it is all taken care of for them
Mandy Habermehl Manulife Securities