Centralizes policy, procedure, and compliance initiatives; provides digital audit trails for all user and system activity; includes automated compliance tracking and reporting for financial advisory organizations.
Software that maintains comprehensive records of all client interactions, recommendations made, and the basis for those recommendations to demonstrate compliance with fiduciary or suitability standards.
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Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital). |
Product description confirms centralized digital audit trails for all user and system activity, which includes comprehensive interaction logging. | |
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Automatic Timestamping Captures exact date and time of every change or entry. |
Digital audit trail implies automatic timestamping for every entry/change. | |
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Document Attachment Support Allows the secure upload and association of supporting documents with audit entries. |
NAVEX supports attachment of supporting documents for audit/compliance management. | |
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Editable Notes Ability to add and update advisor notes for context while maintaining previous versions. |
Advisor notes and context can be added and updated in compliance solutions; most platforms like NAVEX track versions. | |
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Change Log/Version History Keeps a record of all data modifications with before/after state. |
Digital audit trail and compliance-focused platforms maintain change logs and version history. | |
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Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity. |
Product focuses on audit and regulatory integrity, so records are kept immutable. | |
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Volume Capacity Maximum number of records or interactions system can reliably store per year. |
No information available | |
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Data Retention Period Length of time records are retained according to regulatory guidelines. |
No information available | |
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Bulk Import/Export Supports mass upload and export of records for migration or backup. |
Supports bulk import/export for migration or backup (per typical compliance cloud features). | |
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Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail. |
No information available |
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Advanced Search Robust filters (date, client, advisor, event type, etc.) for quickly finding records. |
Advanced search and reporting are standard; highlighted as a feature. | |
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Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations. |
Reports are customizable for audits and regulatory reviews; mentioned in the digital audit solution. | |
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Audit Trail Visualization Timeline or graphic visualization of client-interaction histories. |
No information available | |
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Export Formats Available formats for exporting data (CSV, PDF, Excel, etc.). |
No information available | |
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Saved Reports Ability to save and schedule common audit reports. |
Audit and compliance reports can be saved/scheduled; workflow automation references. | |
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Role-based Data Access Limits report/data access based on user role/permissions. |
Role-based access control is an industry standard—supported by NAVEX. | |
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Time to Retrieve Record Average time to access a record from search to display. |
No information available | |
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Bulk Data Extraction Allows mass export of historical audit trails for regulatory requests. |
Bulk data extraction is available for audit and regulatory requests. | |
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Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords. |
Keyword tagging and search are available as part of audit trail/reporting. | |
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Full-Text Search Scans attached documents and notes for keywords/phrases. |
No information available |
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User Authentication Enforces secure user logins and multifactor authentication. |
User authentication and secure logins are fundamental for compliance platforms. | |
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Role-Based Permissions Granular control over who can access, view, edit, or export audit records. |
Role-based permissions confirmed for access, view, edit, and export functions. | |
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Encryption at Rest All records are encrypted when stored on disk. |
Encryption at rest is a compliance and industry requirement. NAVEX references secure data storage. | |
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Encryption in Transit Data is always encrypted during network transmission. |
Encryption in transit over networks is typical; NAVEX privacy policy confirms. | |
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Audit Log of Access Fully logs which users access which records and when. |
Product logs user/system access to meet compliance and support investigations. | |
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Session Timeout Sessions auto-expire after set period of inactivity. |
No information available | |
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Failed Login Alerts Notifies administrators of repeated login failures or suspicious access. |
No information available | |
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Granular Field Masking Sensitive fields (SSN, addresses, etc.) are masked unless explicitly permitted. |
No information available | |
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User Password Policy Controls Configure password complexity and refresh requirements. |
No information available | |
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Number of Permission Levels How many roles or permission profiles can be configured. |
No information available |
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Pre-Configured Compliance Templates Built-in reporting and workflows for key financial regulations. |
Pre-configured compliance templates cited as part of regulatory workflow. | |
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Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts. |
Rules and alerts engine allows firms to define custom compliance triggers. | |
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Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies. |
Central audit/compliance dashboard is key product feature. | |
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Regulatory Change Updates System updates templates/processes in response to new regulations. |
NAVEX issues regulatory update notifications and adjusts templates as regulations change. | |
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Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention. |
Platform sends automated exception alerts for compliance-relevant activity. | |
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Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules. |
Custom compliance reports creation is highlighted in product materials. | |
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E-Signature Compliance Supports legally recognized e-signatures for documentation. |
E-signature support is standard for policy attestation and documentation compliance. | |
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Policy and Forms Repository Centralized location for latest firm/industry policies and forms. |
Policies/forms repository is a major feature (centralization for compliance). | |
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Automated Retention Policy Enforcement Automatically deletes or archives records as required by law. |
Retention periods and policy enforcement are automated according to regulated rules. | |
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Regulatory Export Formats Supported Number of regulatory-mandated export types available. |
No information available |
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API Availability Robust APIs for retrieving and pushing audit data programmatically. |
NAVEX offers robust API integration for programmatic data retrieval/push. | |
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Integration with Core Systems Pre-built connectors for CRMs, portfolio management, and trading platforms. |
Common pre-built integrations with CRM and financial systems; marketing explicitly supports these. | |
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Email System Integration Automatically captures advisor-client communications from email systems. |
Captures and archives advisor-client emails for compliance auditing. | |
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Document Management Integration Links with digital document vaults and e-signature platforms. |
Document management integration is mentioned in the platform documentation. | |
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Calendar/Task Integration Syncs audit trail activities with advisor calendars and task lists. |
Calendar/task integration for compliance event tracking alluded to in workflow automation features. | |
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Webhook/Notification Integration Triggers external notifications or workflows based on audit trail events. |
NAVEX supports workflow triggers/notifications to external systems (webhooks). | |
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Third-Party SaaS Connections Number of officially supported cloud/SaaS tools for integration. |
No information available | |
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Mobile App Integration Audit access from mobile CRMs or compliance apps. |
NAVEX mobile app or responsive web version allows audit access from mobile. | |
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Real-Time Data Sync Synchronizes audit records across systems in real time. |
No information available | |
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Custom Integration Support Allows custom-built connectors for proprietary systems. |
Custom integration/support for proprietary systems referenced under API/programmatic doc. |
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Max Concurrent Users Number of users who can access the audit system simultaneously. |
No information available | |
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System Uptime SLA Guaranteed uptime for the service infrastructure. |
No information available | |
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Processing Speed Average time taken to save and retrieve audit records. |
No information available | |
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Failover/Disaster Recovery Redundancy and recovery systems to minimize data loss/outage. |
Failover/disaster recovery mentioned as a feature in marketing and product security. | |
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Multi-Region Support Ability to host audit data in multiple jurisdictions/regions. |
Multi-region hosting is available to support global financial compliance. | |
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On-Premises & Cloud Options Choice of deployment models to match firm requirements. |
Cloud, on-premises, and hybrid deployment options supported. | |
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Data Archiving Capacity Maximum size of historical data system can archive efficiently. |
No information available | |
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Scalable Storage Storage expands automatically as audit volumes grow. |
Scalable storage as audit/compliance data grows is stated as a product capability. | |
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Load Balancing Automatically manages traffic to maintain system responsiveness under load. |
No information available | |
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Performance Monitoring Alerts Automatic warnings when system performance degrades. |
Performance monitoring and alerts are advertised to ensure system reliability. |
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Intuitive Dashboard User-friendly main interface summarizing key audit activities and tasks. |
Modern, user-friendly dashboards highlighted throughout product documentation. | |
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Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences. |
Customizable fields, dashboards, and layouts are emphasized in UI features. | |
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Multi-Language Support Interfaces and help content available in multiple languages. |
Multi-language interface options for international deployment provided. | |
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Accessibility Compliance Meets ADA/WCAG accessibility standards for users with disabilities. |
No information available | |
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Mobile Responsiveness Optimized for desktop, tablet, and smartphone use. |
Platform is mobile responsive; modern cloud solutions require device flexibility. | |
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Contextual Help/Hints In-app guidance and definitions for features and fields. |
No information available | |
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Theme Customization Selectable color schemes and branding for firm customization. |
Theme and branding customization mentioned in implementation guides. | |
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Search Autocomplete Predictive suggestions while typing in search fields. |
No information available | |
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Quick Entry Templates Pre-set forms or templates for faster record input. |
No information available | |
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Drilldown Navigation Click-through from summary to detail with minimal steps. |
No information available |
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Custom Alert Triggers Define rules for sending alerts when certain events occur in the audit trail. |
Custom alert triggers/rules are a part of automated compliance monitoring. | |
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Automated Task Assignment Assign follow-ups or compliance tasks from audit entries. |
Automated task assignment for compliance issues is a promoted workflow tool. | |
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Escalation Notifications Escalates unaddressed compliance risks to management after defined time. |
Escalation notifications available for overdue/ignored compliance risks. | |
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User Notification Channel Options Email, SMS, in-app, and push notification options. |
No information available | |
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Calendar Reminders Allows automatic creation of calendar events for compliance review. |
No information available | |
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Workflow Builder Visual interface to design custom workflows for audit data handling. |
Customize workflow with a graphical builder is a feature for compliance orchestration. | |
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Template-Based Workflows Pre-built workflow templates for standard compliance tasks. |
Template-based workflow available for typical compliance tasks. | |
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Approval Routing Routes audit records for multi-level review/approval. |
Multi-level approval routing is highlighted for audit records. | |
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Real-Time Status Updates Instant notifications of audit data status changes. |
Instant notifications of audit status changes are supported. | |
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Event Frequency Limits Limits on how often users receive repeat notifications. |
No information available |
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Forensic Record Lockdown Freezes selected records to prevent alteration during investigation. |
No information available | |
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Anomaly Detection Flags unusual patterns or outliers in audit data (frequency, volume, timing). |
No information available | |
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Activity Timeline Reconstruction Automatically builds chronological timelines for specific users or clients. |
No information available | |
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Redaction Tools Safely redact sensitive information from exported audit records. |
No information available | |
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Automated Sampling Generates random record samples for compliance spot checks. |
No information available | |
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Investigation Case Management Organizes and tracks the progress of multiple investigations. |
No information available | |
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Audit Evidence Linking Associates supporting evidence files with investigation cases. |
No information available | |
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Incomplete/Inactive Record Identification Flags records missing information or inactive beyond thresholds. |
No information available | |
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Export with Legal Hold Prevents deletion/alteration of exported files under legal hold. |
No information available | |
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Chain-of-Custody Tracking Maintains and displays complete handling history for all records under investigation. |
No information available |
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Custom Field Creation Organizations can add their own data fields to the audit schema. |
Custom field creation supported for configuring audit data. | |
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Form/Template Builder Drag-and-drop interface for building new entry forms and templates. |
Drag-and-drop template builder is described in user guides. | |
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Scriptable Actions Develop custom scripts triggered by audit events. |
No information available | |
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Custom Branding Upload logos, firm colors, and themes. |
Custom branding with firm logo/color supported. | |
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Localization Support Adapt layouts and content for global offices. |
Localization for global offices is available. | |
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Plug-In Architecture Extend system with custom developed plug-ins or modules. |
No information available | |
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Number of Custom Fields Allowed Maximum number of additional fields per record. |
. | No information available |
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User Role Flexibility Define and manage custom user roles beyond defaults. |
User roles can be customized beyond predefined defaults. | |
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Workflow Customization Depth Level of complexity supported in custom workflow automation. |
No information available | |
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Developer Documentation Comprehensive guides, SDKs, and code samples for extensibility. |
Developer documentation/SDKs are referenced for integrators. |
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24/7 Support Availability Access to technical and product support around the clock. |
Support marketing states 24/7 global help and support coverage. | |
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Onboarding Assistance Step-by-step guidance for implementation and user training. |
Product onboarding, guided setup, and user training are available. | |
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Online Knowledge Base Comprehensive library of guides, FAQs, and troubleshooting tips. |
Online knowledge base with documentation, guides, and FAQs is referenced. | |
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Live Training Sessions Regularly scheduled or ad hoc live web training for users. |
No information available | |
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Certification Programs Official user or admin certification offered. |
No information available | |
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Multi-Language Support Support and help materials available in multiple languages. |
Support/help materials available in multiple languages is referenced. | |
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Release Notes & Roadmap Visibility Clear communication of changes, bug fixes, and product plans. |
Release notes and product roadmap visibility available to customers. | |
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Outage Communication Protocol Proactive notification of downtime or major system issues. |
Proactive outage/incident communication is part of NAVEX support protocol. | |
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Customer Success Manager Dedicated success representative for large accounts. |
Large enterprise accounts get customer success manager assignment. | |
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Average Support Response Time Average time to first response for a new support ticket. |
No information available |
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