Part Two: Dealer & Advisor Alignment

As you soak up the warm August sun, it’s the perfect time to set sail on the next leg of our compliance journey. Welcome to Part 2 of our summer series, where we’ll explore the crucial aspect of dealer and advisor alignment in modernizing & scaling your compliance program. We’ll look at how Four Eyes can help you achieve this alignment, ensuring your organization is compliant while delivering an exceptional advisor/client experience. 

In case your missed it: Part 1: Cloud-based Platforms

Part 2: Dealer and Advisor Alignment

A successful compliance program requires effective communication and collaboration between dealers & advisors. What’s needed to foster this dynamic partnership:

  • Common View of Portfolio Risk: Planning a successful summer vacation requires agreement on the destination and activities. Similarly, dealers and advisors must share a common view and understanding of a client’s risk profile. Alignment starts with everyone being on the same page.
  • Communication Channel: Footprints in the sand disappear with the tide, just like paper trails can easily be lost or compromised. A modern compliance program seamlessly captures communication with dealers and advisors, providing a comprehensive audit trail.
  • Automated Workflows: Automated workflows facilitate collaboration between dealers and advisors, streamlining tasks, enhancing compliance, and providing real-time visibility – all leading to efficient decision-making and scalable alignment.
What’s needed to foster dealer & advisor alignment.

The Four Eyes Intelligent Compliance platform helps you unlock the full potential of the dealer and your advisors by providing the tools needed to excel. 

  • Single View of Risk: Creates alignment between head office and advisors through a common view of KYC, KYP, and suitability.
  • Case Management: A two-way ticketing system accelerating cycle time from active to resolved in one central location.
  • Intuitive Dashboards: Provides a user-friendly interface, making it clear for dealers and advisors to access & analyze compliance data.
  • Increased Capacity: Provides your compliance team with 50% more capacity by streamlining compliance workflows and automating routine tasks.

As we wrap up Part 2 of our summer series on dealer and advisor alignment, we’ve laid the foundation for a strong and collaborative compliance program. Now, get ready to set sail toward Part 3! Stay tuned for the next installment from Four Eyes, and keep embracing the spirit of alignment & growth on your compliance journey.

To learn more about how the Four Eyes products can help you achieve dealer & advisor alignment, click the button below.