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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 a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes successfully navigate the increasingly complex regulatory landscape. Our suite of 17(a)-4/WORM compliant features offer risk minimization, cost reduction, and process optimization capabilities with features that are designed to evolve with our client’s needs. Our flagship advertising review software enables firms to deliver compliant content to the market with confidence, faster. Our Disclosure Management and Intelligence solution simplifies the management of disclosures, while our Registration Management solution automates and streamlines the licensing and registration process, further enhancing your internal processes. 

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