Compliance Console

Compliance Console is C5 Solutions tool for powerful any compliance officer. The Compliance Console helps manage approval/rejection of documents or images. In conjunction with Mobile Dashboard the Compliance Console helps take Workflow to a new level. Depending on the level of the Workflow the documents The Console launches the Representative, Customer and Order information to be reviewed side by side with the document needing approval. After review the Compliance Console can notify the Mobile Dashboard of the review and a rep can see the approval/rejection as well as can get any missing information needed for approval. Compliance for Broker Dealers uses the Compliance Console as a communication device for the Back Office to communicate with reps in the field.

The combination of the Compliance Console and Mobile Dashboard allows the Broker Dealer to save time and money because there is zero handling or shipping expenses of customer applications. The Compliance Console is the last piece of the puzzle for Broker Dealer Commissions, Compliance, Mobile Products. Whether the user is a mail room clerk checking applications for completion or a veteran compliance officer reviewing applications to prevent reps from selling products in states they are no longer licensed in, the Console is a streamline tool for communicating information between the representatives and the back office.