automated compliance management

facilitate seamless compliance for your financial advisory business

let us take the weight of worry off your shoulders with the unparalleled finch quality assurance management system

be prepared for anything

compliance management that helps you cover all your bases

we know the stress that comes with attending to compliance matters. finch addresses the major administrative demands that produce those pressures by providing automated solutions that make fsca compliance more easily attainable.

finch allows you to streamline compliance procedures so that your brokerage remains fully above board, in half the time.

keep control of all your client files and documents on one secure platform
allow compliance officer access to your client files
facilitate fast and direct quality assurance assessment and feedback with finch’s two-way communication
track all your compliance to-do’s on your dashboard

Compliance Features

Comprehensive Compliance Tools

Manage your compliance process efficiently

Compliance: Keep control at your fingertips. finch's secure, cloud-based software allows you to monitor and manage your compliance in one place.

Capture & Store Records of Advice: Efficiently capture and securely store all records of advice and needs analysis, ensuring they are easily accessible for future reference.
Compliance Officer Functionality: Equip compliance officers with the tools they need to oversee, manage, and enforce compliance regulations effectively.
Compliance Reporting: Generate detailed compliance reports to gain insights, ensure regulatory adherence, and support informed decision-making.
Incident Management: Log and manage compliance-related incidents, including tracking resolutions and preventative measures.

your compliance under control

what you can expect from finch quality assurance

our finch quality assurance feature is designed to make compliance management effortless for brokers and financial advisors. don’t spend days searching for client documents. find it fast, on finch.

broker-controlled records

you don’t need to rely on insurance company records when you’re under pressure to prove compliance. store your own client information, documents, policies and records of advice on one easy-to-use platform.

direct compliance officer access

grant authorised compliance officers direct access to your finch quality assurance platform, so that you don’t need to dig for documents. compliance issues can be simply flagged for your attention on your dashboard.

detailed compliance reporting

forget nothing, with compliance reporting from finch. know where your compliance issues are, so that you can remedy them without delay, and without penalty.

personal support

because compliance is stressful enough, we’re here to show you the ropes. allow one of our dedicated consultants to walk you through the quality assurance features available to you on finch.