INDUSTRY SOLUTION

VirtuSpect Home Office Inspection Management for FINRA Compliance

Streamline FINRA Compliance with VirtuSpect’s VSO-FINRA Platform

VirtuSpect introduces Virtual Secure Office for FINRA (VSO-FINRA), a cutting-edge inspection management solution tailored to meet the stringent requirements of FINRA Rule 3110.18. Designed for financial institutions participating in the Remote Inspections Pilot Program, VSO-FINRA enables seamless compliance with branch and non-branch inspection requirements through our advanced managed virtual inspection mobile app and comprehensive compliance features.

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BENEFITS

Streamlines FINRA compliance with automated workflows, virtual inspections, and seamless integration, saving time and costs while ensuring audit readiness.

Automate workflows

VirtuSpect’s VSO-FINRA platform simplifies home office and branch compliance by automating critical workflows, including scheduling, notifications, and escalation. This reduces the administrative burden on financial institutions, allowing your compliance team to focus on oversight and strategic activities.

Integration with compliance systems

VSO-FINRA integrates effortlessly with your existing compliance management systems, providing a unified approach to regulatory adherence. This integration ensures accurate documentation, transparent reporting, and simplified audit readiness.

Intelligent exception handling

With built-in exception management, VSO-FINRA automatically flags non-compliance risks during inspections, ensuring swift resolution. Our system empowers your team to address issues proactively, reducing the risk of regulatory penalties and maintaining a culture of compliance.

MANAGED VIRTUAL INSPECTION MOBILE APP

Empowering Employees

VirtuSpect’s managed virtual inspection mobile app takes inspections to the next level, offering an intuitive interface that simplifies compliance assessments for home offices. Key features include:

  • Secure Image and Video Uploads: Ensures authenticity with geolocation verification and over 35 data validation checks.
  • Compliance Templates: Leverages eDelta Consulting’s FINRA-compliant templates for policy, procedure, and risk assessment.
  • Time Efficiency: Inspections take as little as 10 minutes, dramatically reducing operational costs while maintaining regulatory compliance.
  • Encrypted Storage: Securely stores all inspection data for up to 10 years, ensuring audit readiness and peace of mind.
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SUMMARY

Why Choose VirtuSpect’s VSO-FINRA?

  • Cost Savings: Eliminate the need for costly on-site inspections, saving time and reducing travel expenses.
  • Employee Satisfaction: Support flexible work-from-home arrangements while ensuring compliance.
  • Regulatory Adherence: Stay ahead of evolving FINRA regulations with tools designed specifically for financial institutions.
  • Audit Readiness: Authenticated data and secure storage ensure your institution is always prepared for audits.
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TESTIMONIALS

What the experts say

“With FINRA’s post-covid rule changes and guidance for virtual inspections, member firms have a great opportunity to register for the FINRA Pilot Program for Branches and conduct remote inspection of efficiently and effectiveness without incurring significant travel costs.” said Jon Bosco, Managing Partner of audit firm eDelta. “VSO offers a unique opportunity to virtually assess FINRA compliance demonstrating required supervision.” We are excited to provide the FINRA compliance templates to complement this initiative.”

MANAGING PARTNER, eDELTA Jon Bosco