Front Office

TurboCompliance^® features an enterprise-scale CRM, Email and document management platform, as well as a secure client extranet to automate many of the business processes and related compliance procedures associated with:

• Advertising & Marketing, Solicitors and Cap Intro
• Communications with the Public: Email, IM and “hard copy”
• Private Placement of Securities Compliance (Regulation D)
• Account Documentation and Disclosure…automatically sorts and files all required forms, agreements, documents, confirms, statements
• Anti Money Laundering…OFAC SDN Analysis and Reporting and Know Your Customers Monitoring and Review
• ERISA
• Rule 2790 Restricted Persons

The TurboCompliance Front Office Solution provides the ability to automate the monitoring, supervision, detecting, reporting, documenting, sanctioning, annual review and forensic testing required by your related compliance procedures.

Please review the Modules section for a more complete discussion of how we work in concert with your CCO, attorney and CPA to build a version of Turbocompliance which delivers an absolute culture of compliance.

TurboCompliance can reduce the compliance work load and related costs from 75% to 85%.