michael.pendergrass
Acronym
Greenboard
Product ID
Greenboard
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Description
SEC & FINRA compliance platform powered by modern AI automation.
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Details
- Greenboard unifies archiving, firm and employee compliance, third party and marketing oversight, supervision, books and records, and more in one AI powered platform. Automate attestations, calendars, trade feeds, questionnaires, and smart content reviews.
- Admin View is a modular command center where compliance teams can access every tool needed to manage and monitor employee and firm compliance at scale. See approval requests, action items, key messages, and more, instantly on your dashboard.
- Greenboard auto builds your trade blotter from API brokerage feeds, matching employee transactions to market data to flag front running, best execution issues, and policy breaches. Filters, alerts, and exportable reports let firms resolve exceptions fast.
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Details
- Employee View is lightweight and task-oriented, built to boost engagement and efficiency. Staff request pre-clearance or marketing approvals, consult policies and procedures, and upload U4 or ADV Part 2B forms for automatic parsing, all in one place.
- Greenboard utilizes a simple workflow structure that can be used for all necessary reporting and is fully customizable. Attestation workflow's Turbo-Tax style wizard for Code of Ethics and policy certifications to encourage completion of reporting.
- Users can submit any compliance form, including pre-clearance, marketing review, vendor due diligence, and more, directly to compliance teams. Every template, field, and approval route is fully configurable to match your firm's policies and procedures.
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- Greenboard Communications Archive captures email, social, and SMS in immutable WORM format meeting SEC Rule 17a-4. Headcount-based pricing means zero charges for integrations or storage. Setup in minutes with plain English AI filtering and lexicon rules.
- Marketing Review makes approvals easy. Upload videos, posts, or ads and let AI scan for missing disclosures and risky language. Reviewers approve, reject, or comment, with full audit log and versioned artifact securely stored in Greenboard for regulators.
- Greenboard Go uses Gen AI to track rule changes, map impacts to policies, and draft updates. It auto builds annual reports, benchmarks your program, aggregates data for ad hoc analysis, and embeds intelligence into comms supervision and vendor diligence.
Features
SEC & FINRA compliance platform powered by modern AI automation:
- AI-powered communications archiving and monitoring
- Streamlined firm & employee compliance workflow tools
- AI Vendor diligence, marketing review, trade monitoring
Vendors
Management Style
Schwab Products