The Branch Audit Module is a new module in CMS G2 that helps customers track and maintain audits of branches and Locations of Convenience to comply with FINRA® regulations. The Branch Audit Module provides customers with the ability to create audit templates, plan and schedule audits, execute audits, track results and run audit reports.
Key Functions:
- Manage templates for audits of Branches and Locations of Convenience to comply with FINRA® regulations
- Schedule deadlines
- View summary for audits for Branches and Locations of Convenience
- Tracks audits based on status
- Access to detailed audit report
- Up-to-date audit alerts
- Access to offline audit forms
Maintain Template
The Maintain Template feature allows users to create and manage templates for audits of Branches and Locations of Convenience. The reusability of audit templates helps minimize the data entry required by the user. Within the Maintain Template is an Audit Inspection Items screen that allows users to add or remove inspection items to or from inspection areas. Additionally, this screen allows users to define properties such as assigning an order number for the inspection items.
Master Audit Calendar
The Master Audit Calendar provides users with a yearly view for scheduled audits. With this functionality users can:
- Filter audit based on status
- View audit summaries for audits of Branches and Locations of Convenience
- Select multiple months or navigate to a different year on the calendar
The Master Audit Calendar screen allows users access to the Branch Profile or Location of Convenience Profile, and the Audit Profile screens to view data or make any necessary changes to the profile.
Audit Dashboard
With the Audit Dashboard screen users can centrally track audits. The Audit Dashboard screen provides links to maintain audits (add and edit), view audits, print audits, execute audits, capture non-compliance responses, capture related documents and capture audit actions using a single interface.
Offline Audit Form
The Branch Audit Module has a printable offline audit form. This allows auditors to perform audits when an Internet connection is not available then enter audit results when Internet access is restored.
Audit Alerts
The Audit Alerts functionality provides users with the ability to keep up to date with upcoming or ongoing audits.