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Audit Management
MADE EASY

Managing an audit typically involves some of the most arduous tasks faced by industries with significant compliance and audit requirements. Now you can streamline and automate the audit process with one of the best selling audit management solutions – the SmartPros Audit Management System.

The SmartPros Audit Management System is designed to address the supervisory needs of securities companies. Broker dealers manage a complex set of regulatory requirements, which the Audit Management System is designed to manage – everything from the assignment of branch audits – to audit staff scheduling – to notifying OSJs and branch managers of upcoming mandated audits (unless the audit is unannounced). The Audit Management System also automates the audit itself, the remediation letter, managing resolution, and closeout.

AheadRace is the only vendor-partner authorized to implement SmartPros Audit Management System in India and Asia Pacific.

THE AUDIT MANAGEMENT SYSTEM CAN SUPPORT SMALLER BROKER DEALERS WITH JUST A FEW BRANCHES TO ORGANIZATIONS WITH MORE THAN 20,000 ADVISORS, 5,000 BRANCHES, AND 70 AUDIT STAFF. THE SMARTPROS AUDIT MANAGEMENT SYSTEM:
  • 01
    Automatically identifies which branches are coming due for their mandated audits
  • 02
    Facilitates audit planning through an integrated map-based interface
  • 03
    Schedules and tracks both announced and unannounced audits
  • 04
    Provides an intelligent audit interview interface to improve the efficiency and completeness of audits as they are being conducted
  • 05
    Produces a formal post-audit “remediation letter” documenting findings of operational deficiencies found during the audit
  • 06
    Supports a “closeout” process of administering the review and acceptance of remediation steps taken to resolve operational deficiencies
  • 07
    Handles tracking, notifications, and reminders of every stage of scheduling, follow-up, and closeout of audit activity
  • 08
    Captures an audit trail at every step — from assigning the audit to an auditor through to closeout

Widely adopted in the U.S. for its ease-of-use, reliability, and comprehensive feature set, the SmartPros Audit Management System lets you easily manage all the otherwise burdensome audit tasks in fields such as banking, financial services, pharmaceuticals, insurance, and other industries where regulation and compliance are key concerns.

Go Ahead, give us a call or write to us and we will show how simple and easy it is to stay compliant to regulations you face in your industry

SMARTPROS AUDIT MANAGEMENT SYSTEM
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