Compliance Management

Seamlessly and efficiently manage risk and reduce liability across your business.


Risk Detection
Automatically scan and flag noncompliant transactions against FINRA and SSAE rules — and create your own — across all your lines of business and systems.
Issue Mitigation
Track dealer and broker training, compliance, complaints, and more.
Evidence Reports
Review data easily and quickly through a catalog of comprehensive visual charts and reports — or customize your own.

Tools to streamline your compliance management needs, showing your business — and auditors — that you take your compliance responsibilities seriously

Rules and regulations change seemingly daily. How can your business ensure that it’s keeping in line with changes and avoid headaches when it’s audit time? Easy: EAI’s compliance management solution.

With EAI’s compliance technology, you can rest easy knowing that every transaction is monitored against a variety of compliance rules accurately and securely. Featuring advisor-license tracking, suitability profiling, mass trade review — and much more — your business can be assured that each step receives the review it requires.

By seamlessly aggregating data from multiple systems and sources into a single application, you’ll be able to manage your business risk efficiently and confidently. No more manually tracking compliance alerts and long hours spent working with unwieldy spreadsheets.

And, when regulations change, we will help you quickly adjust the monitoring tools, ensuring swift and accurate compliance across your lines of business and systems.

Prepping for an audit? No problem. Prepare at a lightning pace and impress the regulators by effortlessly running reports of your compliance alerts and how you’ve mitigated them, all with a simple click.

Our products work with any data source, including proprietary. We also partner with a broad variety of clearing houses and investment providers, including National Financial Services, Pershing, DTCC, LPL,DAZL, FINRA WebCRD and many more.

➔  View List of Clearing Firms

Compliance Management - Product Information Sheet (PDF)



  • Monitor customer and product suitability determinations against FINRA and SSAE rules.
  • Flag noncompliant or unsuitable transactions.
  • Document compliance reviews at varying levels.
  • Customize transaction flags for your internal rules, definitions, and policies.


  • Track advisor and representative licensing, continuing education status, and personal accounts.
  • Determine advisor licensing suitability for each transaction.
  • Automatically notify representatives of expiring or missing suitability.


  • Track complaints registered against an advisor, product, or office.
  • Compare the number of complaints against sales.


  • Electronically complete investment authorization forms.
  • Generate timely, tailored reports — such as the Compliance Status and Patriot Act reports — and more.
  • Easily and quickly view graphs and reports for violations, complaints, suitability, or other factors.
  • Create your own detailed reports, adding to our already extensive list.


“We have gone through several FINRA audits, I’ve never seen a FINRA issue that EAI didn’t catch.”

Central Sales Support Manager (Principal Review)
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