Gordian Compliance Solutions specializes in regulatory compliance services for financial industry firms. They work with investment advisers, broker-dealers, private fund managers, and futures professionals to provide compliance and risk management solutions. Gordian is based out of San Francisco and maintains offices in New York and Florida.
Administering a compliance program requires careful coordination between regulatory support and operations. The activities required to assess and maintain a firm’s compliance status involve constant interaction between Gordian consultants and their clients. Tracking dates for preparing and submitting regulatory forms, managing amendments, conducting audit reviews etc. were all being managed in disparate systems with no single view of the customer resulting in redundant work and lost opportunities to scale.
PopcornApps developed a compliance management solution on Salesforce for consultants and the operations team to manage the entire customer lifecycle starting from preparing and submitting SEC and State registrations, maintaining compliance policies and procedures, filing various amendments through the year and establishing a seamless workflow process, to tracking, assigning, and managing all activities relating to audit, review and monitoring of the compliance program for Broker-Dealer and Investment Advisory professionals.
"They (PopcornApps) took the time to learn the intricacies of our industry and the services we provide our clients. That enabled them to take our vision and make it better. The solution they built for us will increase our productivity and efficiency and allow us to better serve our clients."
The workflow efficiency between consultants and operations team to manage a client’s end-to-end compliance program is targeted to increase by 70%, effective communication with stakeholders by 40%, and scale of operations by 65%