Kaplan University School of Professional and Continuing Education Kaplan University School of Professional and Continuing Education

Audit Management System (AMS)

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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.

Key Features

  • Scheduler interface with mapping tools for geo-route planning
  • Configurable solution with workflows and roles set up around your processes
  • Dashboard with alerts and clickable links to monitor each audit stage
  • More efficient process for branch personnel to submit audit responses
  • Automated remediation letters
  • Comprehensive reporting documentation, including a full audit trail with date/time stamps
  • High quality, responsive customer service from implementation and account management teams

Audit Management System Brochure

View the AMS Flier >


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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.


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