at Financial Technnology Year
This content is provided by FinTechBenchmarker.com who are responsible for the content. Please contact them if you have any questions.
NAVEX Compliance Management Platform from NAVEX Global
Centralizes policy, procedure, and compliance initiatives; provides digital audit trails for all user and system activity; includes automated compliance tracking and reporting for financial advisory organizations.
Product analysis by function
Audit Trail Systems for Compliance and Risk Management
Software that maintains comprehensive records of all client interactions, recommendations made, and the basis for those recommendations to demonstrate compliance with fiduciary or suitability standards.
More Audit Trail Systems
More Compliance and Risk Management ...
Data Capture & Recordkeeping
(0 Yes /0 Known /10 Possible features)
|
Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital). |
. | No information available |
|
Automatic Timestamping Captures exact date and time of every change or entry. |
. | No information available |
|
Document Attachment Support Allows the secure upload and association of supporting documents with audit entries. |
. | No information available |
|
Editable Notes Ability to add and update advisor notes for context while maintaining previous versions. |
. | No information available |
|
Change Log/Version History Keeps a record of all data modifications with before/after state. |
. | No information available |
|
Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity. |
. | No information available |
|
Volume Capacity Maximum number of records or interactions system can reliably store per year. |
. | No information available |
|
Data Retention Period Length of time records are retained according to regulatory guidelines. |
. | No information available |
|
Bulk Import/Export Supports mass upload and export of records for migration or backup. |
. | No information available |
|
Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail. |
. | No information available |
Search, Retrieval & Reporting
(0 Yes /0 Known /10 Possible features)
|
Advanced Search Robust filters (date, client, advisor, event type, etc.) for quickly finding records. |
. | No information available |
|
Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations. |
. | No information available |
|
Audit Trail Visualization Timeline or graphic visualization of client-interaction histories. |
. | No information available |
|
Export Formats Available formats for exporting data (CSV, PDF, Excel, etc.). |
. | No information available |
|
Saved Reports Ability to save and schedule common audit reports. |
. | No information available |
|
Role-based Data Access Limits report/data access based on user role/permissions. |
. | No information available |
|
Time to Retrieve Record Average time to access a record from search to display. |
. | No information available |
|
Bulk Data Extraction Allows mass export of historical audit trails for regulatory requests. |
. | No information available |
|
Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords. |
. | No information available |
|
Full-Text Search Scans attached documents and notes for keywords/phrases. |
. | No information available |
Security & Access Control
(0 Yes /0 Known /10 Possible features)
|
User Authentication Enforces secure user logins and multifactor authentication. |
. | No information available |
|
Role-Based Permissions Granular control over who can access, view, edit, or export audit records. |
. | No information available |
|
Encryption at Rest All records are encrypted when stored on disk. |
. | No information available |
|
Encryption in Transit Data is always encrypted during network transmission. |
. | No information available |
|
Audit Log of Access Fully logs which users access which records and when. |
. | No information available |
|
Session Timeout Sessions auto-expire after set period of inactivity. |
. | No information available |
|
Failed Login Alerts Notifies administrators of repeated login failures or suspicious access. |
. | No information available |
|
Granular Field Masking Sensitive fields (SSN, addresses, etc.) are masked unless explicitly permitted. |
. | No information available |
|
User Password Policy Controls Configure password complexity and refresh requirements. |
. | No information available |
|
Number of Permission Levels How many roles or permission profiles can be configured. |
. | No information available |
Regulatory Compliance Support
(0 Yes /0 Known /10 Possible features)
|
Pre-Configured Compliance Templates Built-in reporting and workflows for key financial regulations. |
. | No information available |
|
Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts. |
. | No information available |
|
Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies. |
. | No information available |
|
Regulatory Change Updates System updates templates/processes in response to new regulations. |
. | No information available |
|
Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention. |
. | No information available |
|
Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules. |
. | No information available |
|
E-Signature Compliance Supports legally recognized e-signatures for documentation. |
. | No information available |
|
Policy and Forms Repository Centralized location for latest firm/industry policies and forms. |
. | No information available |
|
Automated Retention Policy Enforcement Automatically deletes or archives records as required by law. |
. | No information available |
|
Regulatory Export Formats Supported Number of regulatory-mandated export types available. |
. | No information available |
Integration & Interoperability
(0 Yes /0 Known /10 Possible features)
|
API Availability Robust APIs for retrieving and pushing audit data programmatically. |
. | No information available |
|
Integration with Core Systems Pre-built connectors for CRMs, portfolio management, and trading platforms. |
. | No information available |
|
Email System Integration Automatically captures advisor-client communications from email systems. |
. | No information available |
|
Document Management Integration Links with digital document vaults and e-signature platforms. |
. | No information available |
|
Calendar/Task Integration Syncs audit trail activities with advisor calendars and task lists. |
. | No information available |
|
Webhook/Notification Integration Triggers external notifications or workflows based on audit trail events. |
. | No information available |
|
Third-Party SaaS Connections Number of officially supported cloud/SaaS tools for integration. |
. | No information available |
|
Mobile App Integration Audit access from mobile CRMs or compliance apps. |
. | No information available |
|
Real-Time Data Sync Synchronizes audit records across systems in real time. |
. | No information available |
|
Custom Integration Support Allows custom-built connectors for proprietary systems. |
. | No information available |
Scalability & Performance
(0 Yes /0 Known /10 Possible features)
|
Max Concurrent Users Number of users who can access the audit system simultaneously. |
. | No information available |
|
System Uptime SLA Guaranteed uptime for the service infrastructure. |
. | No information available |
|
Processing Speed Average time taken to save and retrieve audit records. |
. | No information available |
|
Failover/Disaster Recovery Redundancy and recovery systems to minimize data loss/outage. |
. | No information available |
|
Multi-Region Support Ability to host audit data in multiple jurisdictions/regions. |
. | No information available |
|
On-Premises & Cloud Options Choice of deployment models to match firm requirements. |
. | No information available |
|
Data Archiving Capacity Maximum size of historical data system can archive efficiently. |
. | No information available |
|
Scalable Storage Storage expands automatically as audit volumes grow. |
. | No information available |
|
Load Balancing Automatically manages traffic to maintain system responsiveness under load. |
. | No information available |
|
Performance Monitoring Alerts Automatic warnings when system performance degrades. |
. | No information available |
User Experience & Interface
(0 Yes /0 Known /10 Possible features)
|
Intuitive Dashboard User-friendly main interface summarizing key audit activities and tasks. |
. | No information available |
|
Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences. |
. | No information available |
|
Multi-Language Support Interfaces and help content available in multiple languages. |
. | No information available |
|
Accessibility Compliance Meets ADA/WCAG accessibility standards for users with disabilities. |
. | No information available |
|
Mobile Responsiveness Optimized for desktop, tablet, and smartphone use. |
. | No information available |
|
Contextual Help/Hints In-app guidance and definitions for features and fields. |
. | No information available |
|
Theme Customization Selectable color schemes and branding for firm customization. |
. | No information available |
|
Search Autocomplete Predictive suggestions while typing in search fields. |
. | No information available |
|
Quick Entry Templates Pre-set forms or templates for faster record input. |
. | No information available |
|
Drilldown Navigation Click-through from summary to detail with minimal steps. |
. | No information available |
Notifications, Alerts & Workflow Automation
(0 Yes /0 Known /10 Possible features)
|
Custom Alert Triggers Define rules for sending alerts when certain events occur in the audit trail. |
. | No information available |
|
Automated Task Assignment Assign follow-ups or compliance tasks from audit entries. |
. | No information available |
|
Escalation Notifications Escalates unaddressed compliance risks to management after defined time. |
. | No information available |
|
User Notification Channel Options Email, SMS, in-app, and push notification options. |
. | No information available |
|
Calendar Reminders Allows automatic creation of calendar events for compliance review. |
. | No information available |
|
Workflow Builder Visual interface to design custom workflows for audit data handling. |
. | No information available |
|
Template-Based Workflows Pre-built workflow templates for standard compliance tasks. |
. | No information available |
|
Approval Routing Routes audit records for multi-level review/approval. |
. | No information available |
|
Real-Time Status Updates Instant notifications of audit data status changes. |
. | No information available |
|
Event Frequency Limits Limits on how often users receive repeat notifications. |
. | No information available |
Audit & Investigation Tools
(0 Yes /0 Known /10 Possible features)
|
Forensic Record Lockdown Freezes selected records to prevent alteration during investigation. |
. | No information available |
|
Anomaly Detection Flags unusual patterns or outliers in audit data (frequency, volume, timing). |
. | No information available |
|
Activity Timeline Reconstruction Automatically builds chronological timelines for specific users or clients. |
. | No information available |
|
Redaction Tools Safely redact sensitive information from exported audit records. |
. | No information available |
|
Automated Sampling Generates random record samples for compliance spot checks. |
. | No information available |
|
Investigation Case Management Organizes and tracks the progress of multiple investigations. |
. | No information available |
|
Audit Evidence Linking Associates supporting evidence files with investigation cases. |
. | No information available |
|
Incomplete/Inactive Record Identification Flags records missing information or inactive beyond thresholds. |
. | No information available |
|
Export with Legal Hold Prevents deletion/alteration of exported files under legal hold. |
. | No information available |
|
Chain-of-Custody Tracking Maintains and displays complete handling history for all records under investigation. |
. | No information available |
Customization & Extensibility
(0 Yes /0 Known /10 Possible features)
|
Custom Field Creation Organizations can add their own data fields to the audit schema. |
. | No information available |
|
Form/Template Builder Drag-and-drop interface for building new entry forms and templates. |
. | No information available |
|
Scriptable Actions Develop custom scripts triggered by audit events. |
. | No information available |
|
Custom Branding Upload logos, firm colors, and themes. |
. | No information available |
|
Localization Support Adapt layouts and content for global offices. |
. | No information available |
|
Plug-In Architecture Extend system with custom developed plug-ins or modules. |
. | No information available |
|
Number of Custom Fields Allowed Maximum number of additional fields per record. |
. | No information available |
|
User Role Flexibility Define and manage custom user roles beyond defaults. |
. | No information available |
|
Workflow Customization Depth Level of complexity supported in custom workflow automation. |
. | No information available |
|
Developer Documentation Comprehensive guides, SDKs, and code samples for extensibility. |
. | No information available |
Support, Training & Vendor Reliability
(0 Yes /0 Known /10 Possible features)
|
24/7 Support Availability Access to technical and product support around the clock. |
. | No information available |
|
Onboarding Assistance Step-by-step guidance for implementation and user training. |
. | No information available |
|
Online Knowledge Base Comprehensive library of guides, FAQs, and troubleshooting tips. |
. | No information available |
|
Live Training Sessions Regularly scheduled or ad hoc live web training for users. |
. | No information available |
|
Certification Programs Official user or admin certification offered. |
. | No information available |
|
Multi-Language Support Support and help materials available in multiple languages. |
. | No information available |
|
Release Notes & Roadmap Visibility Clear communication of changes, bug fixes, and product plans. |
. | No information available |
|
Outage Communication Protocol Proactive notification of downtime or major system issues. |
. | No information available |
|
Customer Success Manager Dedicated success representative for large accounts. |
. | No information available |
|
Average Support Response Time Average time to first response for a new support ticket. |
. | No information available |
This data was generated by an AI system. Please check
with the supplier. More here
While you are talking to them, please let them know that they need to update their entry.