1. Auditing Services
New Efficiencies for Field Audit Programs
An ef fective field audit program is an essential component of your compliance process. It’s also the most complex
and hard to manage. Auditing is a demanding responsibility that can strain your staf f and resources. There are many
moving par ts–from hiring, to training, to planning and scheduling. With the ever-changing regulatory landscape it’s
hard to keep up.
Maximize Your Resources The NRS Solution Co-sourcing
This option combines the benefits of having
Budgetary considerations alone are not the only You don’t have to hire to get the results an in-house audit team with the flexibility
reason to consider outsourcing. There are many you’re looking for. NRS provides turnkey audit of an outsourced program. NRS can work
other reasons why outsourcing makes sense for programs for some of the nation’s largest hand-in-hand with your audit team to ex tend
your firm. Outsourcing can: Broker-Dealers. We star t with a dedicated its capabilities for shor t-term or long-term
account team that’s focused on your business
 Reduce your costs by leveraging our engagements. You will have many of the benefits
and can help you plan and design a field audit
infrastructure and economies of scale of an outsourced program while retaining your
program. NRS of fers several options to help you core functions in house.
 Increase your flexibility to meet changing and your account team choose the right solution
business conditions for your firm.
Technology Only
 Reduce the impact of turnover
Full Outsourcing Leverage the ComplianceMA X technology
 Ma ximize your compliance staf f by plat form and experience the benefits of
focusing them on other functions NRS of fers full, outsourced options for firms automation. Your audit team will see a dramatic
that want a managed solution including design,
 Enable you to achieve a predictable and boost in productivity and increased job
planning, implementation and repor ting. In
controlled budget satisfaction. Your managers will be empowered
addition, our clients receive all of the benefits of
 Help you to focus on managing with automated repor ts and metrics.
the ComplianceMA X TM technology plat form.
compliance, not people and operations
Work
Smarter
For additional information, visit our Web site at
www.nrs-inc.com or call us at +1 860 435 0200

2. Auditing Services
New Efficiencies for Field Audit Programs
Your audit program is the cornerstone of your compliance strategy and choosing the right par tner is critical to its
success. You want a par tner that understands your business and the unique challenges that you face. You want a
par tner that treats your audit program as an impor tant component of your business.
At NRS, we know that no two compliance programs are alike and we’ve designed our plat form, from our people to our
technology, to adapt to each client’s unique processes. When you par tner with NRS, we star t by assigning a dedicated
team of professionals to your firm to guide you through the implementation process. Our team stays with you through
the entire relationship. Our people and our technology are the key components that deliver your peace of mind.
Our People You’re in Control Workflow Built for Your Business Processes
You’re in control throughout the entire process Your audit plat form should work with your
If you are looking for third-par ty objectivity, from the planning and design stage to monitoring business processes not against or around them.
professionalism and a thorough inspection the results. You can access your audit program ComplianceMA X is the only audit plat form with
process, then the NRS Auditing Services are any time to review audit schedules, statuses and configurable work flows, allowing you to model
for you. Experienced audit professionals will findings. Completed audits are available real-time your firm’s “actual” field audit processes. With
visit your of fices and conduct inspections of through a Web por tal where you can access ComplianceMA X, your audit program will enjoy
your primary compliance files, transactions, complete branch repor ts, critical findings, faster implementation, more ef ficient training and
record-keeping and other critical areas of your trending repor t and breakdowns by region, OSJ fail-safe compliance processes.
business. and branch.
Robust Reports
Our examiners will conduct inspections in a Our Technology Your audit program generates a considerable
manner that addresses the latest regulatory amount of data. ComplianceMA X combines
requirements and your firm’s specific policies ComplianceMA X is the most advanced auditing industry exper tise and a superior technology
and procedures. plat form available. Whether you fully outsource plat form to generate the industry’s most
to NRS or simply use our tools, your firm will accurate, meaningful audit repor ts.
Consistent Results benefit from our investment in technology.
ComplianceMA X has automated the most
NRS provides consistent results, which can be
routine and error-prone aspects of the audit Your Peace of Mind
a challenge in field audit programs. NRS has a
process while retaining the flexibility for auditor
national staf f of highly-trained auditors utilizing NRS has par tnered with hundreds of firms like
discretion. The results can be measured in
our sophisticated auditing technology plat form. yours and conducts thousands of audits annually
improved productivity, increased oversight
By combining a highly-selective hiring policy with in all U.S. states and territories. Your staf f and
and transparency into your audit program.
rigorous training and innovative technologies, management team can rest easy knowing that
ComplianceMA X provides benefits including:
NRS delivers predictable and consistent results. NRS is behind your field audit program.
Intelligent, Configurable Web Forms
A well-designed audit program star ts with a
well-designed audit template. ComplianceMA X
gives you total control over the creation and
design of your audit templates to enable your
content, policies and rules.
Choose the
Right Partner
For additional information, visit our Web site at
www.nrs-inc.com or call us at +1 860 435 0200 Rev. 1108