E*Assist can automate many of the reporting-based compliance and operational support challenges facing a modern IBD. If your reps are frustrated at processing paperwork for home office or the lack of follow-up when they have a question, or FINRA is concerned about out-of-date licences and poor paperwork tracking procedures, then E*Assist can help!

Capabilities include:

• Completely automated reporting-based workflows between compliance teams and your reps, including OBA, marketing event approvals, personal transactions and accounts, variable annuity reviews and approvals, attestation questionnaires and much more. If your compliance team interacts with your reps, then E*Assist can enhance the process dramatically
• Enhance your operational workflows with quick and seamless sending of requests and orders to your support teams including automate account opening, check requests and address changes. Reps can also automatically generate auto-filled and auto-filed applications forms! All of this happens outside of email and includes automatic checking to ensure tasks are complete with alerts when issues run late
• Advanced client relationship management to help home office demonstrate effective Reg S-P compliance
• Reduced mailing costs to home office through electronic interchange and reduced paperwork
• Integration of your back office providers like Pershing and DST straight into each client's record for immediate access