Inspections on record. No matter where your team is working from.
ActiveComply® Inspect provides a structured online inspection workflow with standardized checklists for branch, workstation, and event inspections, WORM-compliant archiving, deficiency tracking, and exam-ready reporting.
Compliance inspection requirements exist across various regulatory frameworks — FINRA Rule 3110, CFPB exam protocols, state mortgage examination requirements, and NCUA guidance among them. Manual processes cannot produce the consistent, WORM-compliant records regulators expect. ActiveComply® Inspect can.
Keep every location exam-ready.
Standardized checklists. Consistent records across every location. Findings and corrective actions documented and archived, regardless of who conducts the inspection.
Remote work changed operations. The requirement didn’t.
For institutions subject to FINRA Rule 3110, CFPB exam protocols, or state mortgage examination requirements, Inspect produces individual-level workstation documentation regulators expect — entirely online, no site visit required.
Field events create compliance exposure. Document it.
Industry events, open houses, homebuyer seminars, and advisor conferences are advertising and supervision events under most regulatory frameworks. Inspect captures who was present, what materials were used, and whether required disclosures were in place.
Consistency that holds up under examination.
Configurable checklists tailored to each inspection type and your organization’s policies. Every record meets the same documentation standard regardless of location or inspector.
Findings don’t fall through the cracks.
Issues are flagged, corrective actions are routed and tracked to resolution, and the complete finding-to-resolution sequence is archived and attributed to the specific employee and incident.
Built for the exam request you haven’t received yet.
Every completed inspection is archived in WORM-compliant storage — records cannot be altered or deleted once written, meeting the immutability standard regulators look for in an audit trail. Searchable by employee, location, type, date, and status.
Audit-ready in minutes, not days.
Export inspection records by location, employee, date range, or inspection type in standard formats accepted by examiners. No manual compilation required.
Compliance teams don’t have to do it all.
Branch managers, operations staff, and designated supervisors can conduct inspections. The platform standardizes documentation regardless of who runs the inspection.
Inspection requirements vary by institution type. FINRA Rule 3110 requires broker-dealers to conduct regular on-site inspections of offices and OSJs. CFPB examination procedures include review of physical environments for mortgage originators. State mortgage examination requirements frequently include workstation and branch inspection documentation. NCUA guidance addresses credit union branch oversight. The consistent expectation across frameworks is that inspections are conducted regularly, documented consistently, and available for examiner review.
A compliance inspection checklist typically covers: physical environment and workstation setup, advertising materials and required disclosures present at the location or event, licensing and registration documentation, and evidence of prior corrective actions. For events, the checklist should also capture attendees, materials distributed, and disclosures made. ActiveComply® Inspect includes pre-built checklists configurable to your organization’s policies and applicable regulatory requirements.
No. ActiveComply® Inspect conducts branch, workstation, and event inspections entirely online through a structured checklist workflow. Inspections are scheduled and completed remotely, with findings and outcomes archived automatically alongside your other compliance documentation.
Yes. ActiveComply® Inspect supports branch managers, operations staff, and designated supervisors as inspectors. The platform standardizes the checklist and documentation regardless of who conducts the inspection, ensuring consistency across locations.
ActiveComply® maintains inspection documentation in WORM-compliant storage within the platform, meaning records cannot be altered or deleted once written. Data handling practices are documented in the service agreement. Your team retains access to records throughout the term and on offboarding.
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ActiveComply®’s purpose-built product suite covers every compliance vector your regulators examine.
Standardize branch, workstation, and event inspections with exam-ready documentation, deficiency tracking, and WORM-compliant recordkeeping.
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