Assemble the daily blotter, risk-based exceptions, and written supervisory procedure context into a review packet, so a licensed principal only has to review and sign off.
Supervisory principals spend time manually pulling trade blotters, surveillance-exception feeds, and the relevant written supervisory procedures before they can even start a review.
risk-based sampling, surveillance alerts, new-account and product triggers
Review and sign off
Today's review packet flags an unusual-volume alert in a low-priced security out of a rep's daily blotter, matched against the applicable written supervisory procedure, awaiting the principal's sign-off.
Try it — same review surface your operators use, with a representative decision. Nothing here is saved or sent anywhere.
The actual review judgment and sign-off is a licensed-principal responsibility under FINRA Rule 3110 that cannot be delegated to software, so it always stays with a registered supervisory principal.
See this workflow against your own queue.
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