Compliance shield is a compliance monitoring tool used by compliance officers to check all cases passing through a brokerage or network.

All case documentation from assigned advisors is automatically uploaded from Prospector AAA to Compliance Shield where it can be reviewed by a compliance officer and stored securely off-site. Subscribers can also use Compliance Shield to create customized reports and to analyse business activity at broker, brokerage, and network levels.

Take control of your risk management - Compliance Shield enables broker and business management profiling!