BD: Workflow & Operations

Are there bottlenecks and barriers in your current workflow that prevent your firm from future growth?

Nexus creates a foundation for productivity by organizing tasks and streamlining processes.

Making workflow and back office processes more efficient

The Nexus platform provides technology solutions for a Broker-Dealer’s end-to-end use case scenario along with many of the problems associated with managing the high volume of individual items, tasks, and information Registered Representatives need to execute and monitor every day. To access all relevant information simultaneously, we’ve combined nine different technologies into a single integrated package. In addition, Nexus incorporates a system built around books and records management and your Written Supervisory Procedures (WSP). The result is enhanced functionality, increased efficiency, better monitoring, and more granular transparency with less cost and without the need for additional staff. The integration provides your firm with high-level client confidentiality, data privacy, and robust cyber security protection.

Creating synergy

Nexus ensures that the back office and the Registered Representatives of the Broker-Dealer are all interconnected as a cohesive unit. It acts as an office traffic director to align communications, workflow management, compliance documentation, adherence to your WSP, and books and records management. The system establishes the foundation of productivity to include setting the conditions in which every Nexus user sees and interacts with data, powering compliance requirements and enforcements as well as instituting guidelines to ensure various departments are operating and communicating regarding various tasks at maximum efficiency.

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Smart productivity that yields value for financial services firms and staff.

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Project & Workflow Management

  • Unified task-based system
  • Integrated secure communication for operations and compliance-related matters
  • Real-time status of requested or mandatory tasks
  • Complete ticket lifecycle stored to provide dependable information archiving and retrieval
  • Highly configurable back office controls for:
    • Task types
    • Workgroups
    • Business rule steps
    • Routing to multiple workgroups within the back office
  • Configurable internal, office-centric workflow for individual offices
  • Integrations with document management systems and e-signature providers

Compliance Requirements

  • Workflow task distribution, handling and notification
  • Customer accounts concentration alerts, performance conditions, and billing
  • Registered Representative’s Nexus experience, restrictions, and requirements

Books & Records Management

  • OFAC and CIP Compliance streamlined with risk alert submission
  • Distribute official forms for download
  • Electronic forms for compliance questionnaires
  • LaserApp integration to generate and save forms
  • 8 Master reporting groups with 150+ real-time reports