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Nexus ensures that requirements are met and executed in a compliant way.
The regulation landscape facing RIAs has changed dramatically over the last two years. This is new territory, and many RIAs may not know where to start.
In anticipation of these demands, the Nexus platform’s compliance and supervision modules are powered by sophisticated, built-in WSP protocols that provide for an integrated and automated day-to-day compliance capability. The result is a more holistic and comprehensive compliance approach with more consistent detailed monitoring capability than can be achieved via “typical” spreadsheet monitoring often used by many financial services firms. This capability can also eliminate the need for additional staff to handle compliance issues, thus saving resources.
The Nexus environment empowers the back office to focus on maintaining SEC, State and/or Federal compliance, to streamline tasks and responsibilities, and to support the Advisor in maintaining their duties as the fiduciary. The reports center contains over 150 types of reports ready to use for tasks such as day-to-day business to preparation for various audit scenarios. The user management system gives the back office unparalleled granularity in controlling the users’ experience.
Smart productivity that yields value for financial services firms and staff.
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