EAI is dedicated to our customers' success. Here's how a third party broker-dealer supporting 500+ financial institutions, with over 1,000 branches, got an upgrade so advanced it saved money. How can EAI help your business?

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Midwest Broker-Dealer Creates
Central Hub for Compliance and
Commissions Data
To learn more about how
EAI’s Data Management Vault
and Referral Management
Module can help your
business, please email
Marketing@eaiinfosys.com
or call
(877) 537-1507
CHALLENGE
A Midwest Broker-Dealer of insurance and retail investment products found its aging,
inefficient platform for internally managed systems falling short. They searched for a
partner who could provide an overall system upgrade with a robust solution for their
internally managed compliance and commission processes. Given the corporation’s
business style and corporate processes, they required a highly collaborative partner
flexible enough to adapt to meet their business needs, instead of expecting the Broker-
Dealer to adapt its needs to suit the vendor’s capabilities. They chose EAI.
SOLUTION
EAI’s key tasks were to detail, map, and implement comprehensive, streamlined
processes for compliance and commissions, using EAI Data Management Vault as the
the hub of operations. The Vault would serve as the central systems solution in and out of
which all compliance and commission information to and from multiple internal systems
would travel.
After a complete review of the client’s complex internal compliance and commission
structure, EAI helped the Broker-Dealer:
• Build internal processes for the EAI Data Management Vault central data
aggregation solution.
• Identify vendors and field layout requirements for daily exports/imports.
• Capture data to support the overall commission reconciliation process from over
100+ insurance carriers.
• Streamline processes for compliance oversight of all books and records.
RESULT
EAI Data Management Vault now acts as the central hub for all incoming data funneled
to the Broker-Dealer’s commissions and compliance systems.
• Gathered data enables accurate and consistent commission payouts and
reconciliation processes.
• All regulatory/compliance maintenance and books and records verifications are
tracked and satisfied.
• Broker-Dealer realized significant payback in efficiencies across all
operational processes.