Kaplan's Audit Management System, powered by SmartPros, is a robust, online audit platform that supports any size or type of financial services organization, from banks and broker-dealers to investment advisors and more. The system currently manages branch office audits that cover over 10,000 locations, more than 25,000 advisors/reps, and is used daily by over 250 auditors and staff who oversee 10,000+ annual audits.
Branch Search & Scheduling
Schedule audits through refined calendar management tools, including a map-based interface that enables managers and auditors to plan and finalize their route to each location.
Audit Trail Tracking & Reporting
Full reporting and tracking capabilities that allow managers and compliance personnel to follow each stage of the audit to closure.