Compliance management
As your firm changes, your oversight keeps pace.
Compliance management covers the firm's own program: who is licensed, who supervises whom, the policies you keep, and the code your people follow. Red Oak keeps all of it current and on record.
Dana Reed at Branch 114 signs the annual Code of Ethics certification, and her personal trade pre-clearance is approved. Both roll up into the firm compliance program as completed items, and the matching program rows update.
- Annual program reviewIn progress
- Policy review: Code of EthicsCertification signed · Dana ReedComplete
- Pre-clearance reviewApproved · Dana Reed ScheduledComplete
- Registrations: Branch 114Current
The Problem
Organizational change outpaces your compliance management process
Hires, transfers, new departments, and regulatory adjustment change your firm's operating posture every week. An examiner's first questions are who is licensed and who supervises whom, then whether your policies were followed. Checking rep records by hand takes time, and manual processes don't catch lapsed registrations. Each structural change reworks review assignments. And when policies, tasks, and personal trades live in separate places, the record has to be pieced together again.
How compliance management works
From who works for you to the rules they follow
Each step is one part of the program, from the record of your people to the rules that apply to them.
01
Registration and licensing
Rep records kept current from FINRA
The FINRA API keeps each representative’s record current, giving your registration team one place to work from.
- 1Each person added by their existing CRD number.
- 2Registrations and licenses listed with their current status.
- 3Renewal and continuing education deadlines tracked.
- 4Several broker-dealers or RIAs in one installation.
The rep record for Dana Reed, CRD number ending 4821, in an installation that holds both Kelderwick Partners, a broker-dealer, and Kelderwick Advisors, an RIA. Her Series 7 and Series 66 registrations are active, she is registered in Colorado, Connecticut, and Massachusetts, her continuing education Regulatory Element is coming due and her renewal date is listed. The record was synced from FINRA. A second card shows Jake Price being added by his CRD number, which is masked.
Synced from FINRA · Oct 28, 9:04
1Added by CRD number
CRD ••••731002
Organization hierarchy
Review and access shaped by your structure
Your supervisory structure connects people to the right reviews and access as the firm changes.
- 1Regions, branches, OSJs, and desks, as the firm runs them.
- 2A desk opens, the structure changes once, review follows.
- 3Visibility runs downward from each supervisor's node.
- 4Directory sync keeps people and departments current.
The Kelderwick Partners hierarchy: the Northeast region contains Hartford OSJ and Boston OSJ, with Branch 114 under Hartford and Branch 207 under Boston. Jake Price moves from Branch 207 to Branch 114. His reviewer updates to Marcus Okafor by itself, and visibility runs downward from the Hartford OSJ node, so Hartford OSJ supervisors can see Branch 114. The change is logged: Jake Price moved to Branch 114 by Paula Nash on October 28 at 9:41. Directory sync keeps people and departments current.
Jake Price moved to Branch 114 · by Paula Nash · Oct 28, 9:41
4Directory sync
03
Firm compliance
Policies and tasks tracked to their deadlines
Tasks connect back to the policy, regulation, or control they serve. Missed deadlines can trigger escalation or reassignment.
- 1Every policy change versioned, with its history kept.
- 2Recurring and one-off tasks on the compliance calendar.
- 3Findings, breaches, and exceptions logged as cases with owners.
- 4Remediation deadlines and a remediation log on each case.
The policy library holds the written supervisory procedures at version 4, with versions 3 and 2 in its history and the change history kept. The compliance calendar shows a recurring quarterly trade review linked to section 7 of the procedures and a one-off annual risk assessment. The annual risk assessment passes its due date, turns amber, and is escalated to Paula Nash. A case logs the finding, a late outside business activity disclosure, owned by Paula Nash, with its remediation due date and a remediation log entry.
1Policy library
- v3Oct 2
- v2Jul 11
2Compliance calendar
- Quarterly trade reviewRecurring · WSP § 7Due Fri
- Annual risk assessmentOne-offDue TueEscalated to Paula Nash
3Finding · Late outside business activity disclosure
Owner: Paula Nash
4Remediation due Nov 15Remediation log · Reminder sent to Dana Reed, Oct 28
04
Employee compliance
Personal trades run to your own code
Your firm’s own policies shape how employees request trade preclearance and disclose outside activities, gifts, private placements, and political contributions.
- 1Each request routed to designated reviewers or decided on your rules.
- 2Trade data from brokers through direct API connections.
- 3A trade against policy or a restricted list raises an exception.
- 4Certifications signed digitally and kept with their timestamps.
A trade feed from the broker API for Dana Reed. A buy of ACMI matches its pre-clearance and is cleared by rule. A sale of ZVLT matches the restricted list, raises an exception, and is routed to Paula Nash. A side card lists the disclosure types, outside business activities, gifts, private placements, and political contributions, and shows the annual Code of Ethics certification signed with its timestamp.
2Trade feed · Broker API
Employee disclosures
Outside business activitiesGiftsPrivate placementsPolitical contributionsWhat an examiner receives
Red Oak keeps a record of your compliance program, so your team can show an examiner what happened, who was responsible, and when.
- 1Each representative's registrations and licenses, as they stand.
- 2Who supervised whom, and when, with each change named.
- 3Every version of a policy, with the tasks that meet it.
- 4Proof of task completion, certifications, and trade decisions.
A read-only record for Dana Reed, shown as of March 3 after stepping back from October 27. Her Series 7 and Series 66 registrations were active, with Connecticut and Massachusetts registered. Marcus Okafor has supervised her since January 12, assigned by Paula Nash. Written supervisory procedures version 3 was in force, and its linked quarterly trade review task was complete on February 28 at 4:05 in the afternoon. Her Code of Ethics certification was signed on January 14 at 9:41, and a trade decision was approved on February 20 at 11:08.
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The products inside Compliance management
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DR
Series 7Series 66
Registration and licensing
Each representative's FINRA registrations, licenses, and CRD record, kept current through the FINRA API.
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Organization hierarchy
The firm's regions, branches, OSJs, and desks, with review assignments and access following who supervises whom.
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MTWTF
Firm compliance
Policies, compliance tasks and issues, versioned, and tracked to their deadlines.
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ACMIPre-cleared
Employee compliance
Preclearance, employee disclosures, trade exceptions, and certifications, run to the firm's own code.
See your compliance program in Red Oak
Bring your representative list and the way your firm is organized. The first conversation walks through how your registrations, your supervisory structure, and your program would be set up.
Compliance management, answered
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Compliance management software keeps the records of a firm's own compliance program, starting with who is registered and licensed and who supervises whom. It also covers the firm's written policies with the compliance tasks and issues tied to them, and the rules employees follow when they trade, make employee disclosures, and complete certifications. Registration and licensing
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A CRD number is the identifier FINRA's Central Registration Depository assigns to each registered firm and individual, and a representative's registrations and employment history attach to it. Red Oak adds each representative by CRD number and keeps their registrations and licenses current from FINRA. Registration and licensing
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FINRA Rule 3110 asks each broker-dealer to keep a supervisory system with written procedures, designate its offices of supervisory jurisdiction, and assign every registered person to an appropriately registered supervisor. Red Oak builds that structure as regions, branches, OSJs, and desks, and records each change to who supervises whom with the person who made it. Organization hierarchy
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Written supervisory procedures are the documented steps a broker-dealer follows to supervise its business and its people, and FINRA Rule 3110 asks the firm to amend them promptly when the rules change. In Red Oak they sit in a policy library where every change is versioned, with the tasks that meet them attached. Policies and controls
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Under Advisers Act Rule 204A-1, an adviser keeps a written code of ethics, collects holdings and transaction reports from its access persons, and approves their purchases of IPOs and private placements in advance. Red Oak runs preclearance, employee disclosures, and certifications to the firm's own code. Code of ethics and personal trading