Branch360° allows investment dealers to use quantitative measures to assess and score the risk factors of its entire branch network. Head office, branch auditors, and branch managers, can all benefit from access to insightful compliance metrics at the branch level.

Risk factor examples

Branch360° uses a number of PA360°-generated data elements. Some of the risk factors used to create a branch risk rating may include:

  • number of accounts under suitability review
  • number of KYC incomplete accounts in the branch
  • number of leveraged accounts in the branch
  • branch commission/total branch AUA

How Branch360° works

Through the use of risk factors available in the Branch360° catalog (each with configurable risk factor weighting thresholds), the application:

  • performs comprehensive tests to create a HIGH, MEDIUM, or LOW branch risk rating
  • captures and reports trending patterns at a branch level
  • ensures the right results are sent to the right users via PortfolioAid360° role matrix

With these risk markers available on a firm-wide scale, compliance management has the opportunity to enhance assessment standards including contribution to branch reviews, audit schedules, and a number of other areas.

Contact us for a demo of Branch360°