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Case Study: Building a Review Process that Works

Thursday, February 17, 2022

What’s your goal when you’re designing a compliance review process?

It’s to balance speed and risk mitigation – to get projects through the process quickly while at the same time ensuring all your boxes are checked on the compliance side. It’s to use technology as a supportive tool rather than let technology take over the way you do business. It’s to improve efficiency while ensuring the highest level of books and records compliance.

The goal is never to build a process, then slowly watch it fall by the wayside. All too often, though, firms allow this exact situation to occur. Why?

It happens because processes are sometimes designed for the sake of having a process, not with a vision for an end result that works. What would happen if processes were designed to be flexible and work for people, rather than people tying themselves in knots to stick to a pre-designed process?

We’ll give you a clue: it really works, really well.

One of our clients recently shared their story about their onboarding and process development with Red Oak. It worked for them by providing a streamlined implementation and processes “so easy no one even wanted to work around them.”

Learn more about how our client built an advertising review process for a team of 700+ employees, and how it transformed their compliance review processes.

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About Red Oak Compliance Solutions

Red Oak Compliance Solutions is the global advertising review software of choice in the financial services industry. It is a comprehensive suite of SEC 17A-4 compliant features that are 100% books and records compliant and provides clients with 35% faster approvals and 70% fewer touches or better. We also offer Smart Review(SM), which solves for the storage and maintenance of disclosures, helping firms reduce risk, decrease review times, and increase the speed of distribution of marketing materials. Smart Registration(SM) automates the licensing and registration management process to help reduce regulatory risk and time spent on manual processes. Overall, Red Oak allows firms to minimize risk, reduce costs, and increase compliance review process effectiveness and efficiencies.