Live preview · Financial Services
FinancialZoid
Compliance, audit, and exam-prep workspace for advisers and broker-dealers.
Open findings
4
2 high · 2 medium
Frameworks tracked
7
SEC · FINRA · IA Act · GLBA
Policy attestations
96%
3 staff outstanding
Days to next exam
147
SEC RIA cycle
Framework coverage
| Framework | Coverage | Trend | Last review |
|---|---|---|---|
| SEC IA Rule 206(4)-7 | 92% | ▲ | 2026-03-04 |
| FINRA Rule 3110 | 88% | ▲ | 2026-02-21 |
| GLBA Safeguards | 76% | → | 2026-01-12 |
| NYDFS 23 NYCRR 500 | 64% | ▲ | 2025-11-30 |
Open findings
Marketing review backlog — 6 social posts pending CCO sign-off High
Vendor due diligence stale — 2 sub-advisers past 12-month cycle High
Books & records retention — archive job missed last weekend Med
OFAC screening — 1 false-positive needs disposition Med
Drill into the underlying audit log next.
Continue to audit trail →
Audit trail · trade surveillance
15:42 · today
Suitability override · acct ****-7188
Adviser: Kira Lassiter · concentration >25% in single sector. Justified by client letter.
14:08 · today
Wire transfer flagged
$184,000 outbound · third-party · pending OFAC clear
11:55 · today
Email retention archived
2,318 messages · WORM-locked · 7-year hold
10:30 · today
Form ADV section update
Item 5.D regulatory AUM refreshed · CCO acknowledged
09:14 · today
Trade allocation cross-check
3 block trades · pro-rata variance <0.4% · within tolerance
Every entry is tamper-evident and exportable for SEC / FINRA exams.
Continue to risk matrix →
Enterprise risk matrix
Rare
Unlikely
Possible
Likely
Almost certain
Severe
Cyber breach
Major
Vendor lapse
Marketing slippage
Moderate
B&R retention
Minor
Form ADV typo
The risk taxonomy is wired to your policy library and exam-prep checklist.
This is a static preview — sample data, hand-authored markup, no live engine. The full app extracts signals from your folders, maps them to Zoid modules, and emits a versioned spec. Schedule a walkthrough to see the real thing.