Broker-Dealer Compliance Software for a More Connected Compliance Program
Skematic helps broker-dealers turn written procedures, employee obligations, branch oversight, testing, and compliance evidence into coordinated workflows that are easier to operate, manage, and scale.
One Connected System for the Work Behind Broker-Dealer Compliance
Turn your compliance manual into an operating system
Move beyond static documents and disconnected reminders. Skematic helps translate your policies and written supervisory procedures into structured, trackable work.
- Connect activities to the relevant manual or WSP section.
- Assign clear ownership across the compliance team.
- Manage recurring obligations and review cycles.
- Track completion, findings, and follow-up activity.
Bring employee compliance into one experience
Make it easier for employees and registered representatives to complete their obligations while giving compliance teams a clearer view of participation and outstanding work.
- Manage attestations and certifications.
- Support personal trading and preclearance workflows.
- Organize outside business activities, gifts, and political contributions.
- Standardize new-hire onboarding and ongoing employee updates.
Create visibility across branches and entities
Manage a distributed broker-dealer with greater consistency across offices, branches, OSJs, business lines, and affiliated entities.
- Separate FINRA, SEC, state, and entity-level obligations.
- Create repeatable branch and supervisory workflows.
- Track office-level activities, findings, and follow-up actions.
- Give leadership a connected view of compliance activity across the firm.
Make testing and supervision more actionable
Connect the requirement, review, finding, and resolution so compliance teams can see what happened and what needs to happen next.
- Manage testing programs and recurring reviews.
- Assign activities to the appropriate reviewer.
- Capture findings and supporting documentation.
- Track remediation, decisions, and resolution history.
Preserve the record behind every compliance decision
Create a durable record of the work your team performs, the issues it identifies, and the decisions it makes.
- Maintain timestamped compliance records.
- Connect documents, communications, activities, and cases.
- Organize evidence by entity, obligation, employee, or business area.
- Preserve institutional knowledge as people, systems, and responsibilities change.
Scale the program as the firm grows
Build a compliance operating model that can support new representatives, branches, entities, business lines, and acquisitions without starting from scratch.
- Reuse workflows and onboarding templates.
- Standardize processes across locations and teams.
- Support growth across multiple regulatory frameworks.
- Connect relevant data through modern integrations and supported ingestion methods.
Built for complex broker-dealer operating models
Skematic supports a range of broker-dealer operating models, including some of the following examples:
FINRA-registered broker-dealers
For firms managing FINRA-related obligations, employee compliance, supervisory processes, testing, branch activity, and examination evidence.
Broker-dealers with affiliated RIAs
For organizations managing both a FINRA-registered broker-dealer and an SEC-registered investment adviser, with separate manuals, obligations, and compliance responsibilities.
Firms with multiple branches or OSJs
For broker-dealers with distributed offices, branch locations, remote representatives, and recurring supervisory or inspection requirements.
Investment banking and advisory broker-dealers
For firms combining capital markets, bond issuance, advisory, M&A, or other investment banking activities with broker-dealer compliance responsibilities.
Broker-dealers with secondary-market trading desks
For firms with trading desks and employee populations whose compliance obligations extend across multiple business functions.
Broker-dealers managing multiple regulatory frameworks
For firms whose employees or business lines also interact with SEC, NFA, CFTC, state, or other regulatory requirements.
Be ready to show how the program works
Examination readiness is built throughout the year. Skematic connects each obligation to the activity performed, the person responsible, the evidence collected, the findings identified, and the resolution completed.
- Move from a policy or WSP to the related activity and supporting record.
- See what was completed, when it happened, and who owned the work.
- Connect findings to the actions taken to address them.
- Organize and export structured records for internal reviews and examinations.
Give your broker-dealer compliance program a stronger center of gravity
The most effective compliance programs are not built from disconnected tasks. They are built from connected policies, people, workflows, evidence, and decisions. Skematic gives broker-dealers a modern way to manage the program as a whole, from employee obligations and branch oversight to testing, cases, procedures, and examination readiness.
FAQs
Broker-dealer compliance software helps FINRA-registered firms organize recurring compliance obligations, supervisory workflows, employee requirements, testing programs, branch activity, documentation, and examination evidence.
Skematic provides a configurable firm compliance layer for managing that work across teams and entities.