BDSential is a Compliance Audit Management platform for broker-dealers, built by former regulators to help automate and streamline compliance with FINRA and SEC requirements for AML, supervisory, cybersecurity, and other audits.
With BDSential, broker-dealers achieve SEC and FINRA audit compliance through automation. Our cloud-based platform streamlines workflows, manages audit content, and enables Compliance Officers to identify violation patterns and track corrective actions in real-time.
Audit Management: Our software automates the entire audit process beginning with the initial stage of Creation, Scheduling and Assignment, through the Performance, Review and Approval stages, concluding with a system generated Audit/Violations Report.
Compliance Management: BDSential’s Compliance Management provides transparency for Executive Management, Boards of Directors, and Audit Committee Members – enabling them to easily track corrective action progress and implementation, close the loop on repeat violations and avoid fines, sanctions and reputational risk.
Data Analytics: Our Compliance Data Analytics enables key stakeholders to analyze and identify violations patterns and trends to reduce the risk of Non-Compliance and to identify risk factors which must be incorporated in the Audit Planning process.
Company Details
- Employees
- 3
- Founded
- 2016
- Address
- 60 Broad St,
- Phone
- (888) 504-5507
- in****@****ial.com
- Industry
- Financial Services
- NAICS
-
Finance and InsuranceMonetary Authorities-Central Bank
- Website
- bdsential.com
- Keywords
- SaaS, Fintech, Broker Dealer Compliance, RegTech.
- HQ
- New York, New York
Bdsential Questions
Bdsential's helpline number is (888) 504-5507
Bdsential's website is bdsential.com
Bdsential's LinkedIn profile is https://www.linkedin.com/company/bdsential
Bdsential has
3 employees.
View email and phone details for 3
employees at Bdsential.
Bdsential's industry is
Financial Services
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Bdsential's support email address is info@BDsential.com
Bdsential's categories are Financial Services
Bdsential's founding year is 2016
