Offers automated audit management tailored for financial institutions, including complete audit trails, risk assessments, evidence management, workflow tracking, and integration with compliance frameworks.
Software that maintains comprehensive records of all client interactions, recommendations made, and the basis for those recommendations to demonstrate compliance with fiduciary or suitability standards.
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Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital). |
MetricStream Audit Management records all client interactions as part of complete audit trails as noted in product documentation. | |
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Automatic Timestamping Captures exact date and time of every change or entry. |
Automatic timestamping of all entries and changes is mentioned as part of audit trail features. | |
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Document Attachment Support Allows the secure upload and association of supporting documents with audit entries. |
Evidence management, including secure document attachments, is a listed feature on MetricStream’s website. | |
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Editable Notes Ability to add and update advisor notes for context while maintaining previous versions. |
Editable notes and audit commentary, with version control, are described in product documentation. | |
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Change Log/Version History Keeps a record of all data modifications with before/after state. |
Product highlights change log/version history as part of audit and compliance records. | |
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Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity. |
Audit trails in MetricStream are immutable for compliance and auditability. | |
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Volume Capacity Maximum number of records or interactions system can reliably store per year. |
No information available | |
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Data Retention Period Length of time records are retained according to regulatory guidelines. |
No information available | |
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Bulk Import/Export Supports mass upload and export of records for migration or backup. |
Bulk import/export of audit records is supported for data migration and backup (per product datasheet). | |
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Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail. |
Audit system includes multimedia storage as part of supporting different evidence types. |
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Advanced Search Robust filters (date, client, advisor, event type, etc.) for quickly finding records. |
Advanced search with robust filter criteria is highlighted as a core capability. | |
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Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations. |
Customizable reporting and dashboards are a key differentiator of MetricStream. | |
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Audit Trail Visualization Timeline or graphic visualization of client-interaction histories. |
Audit trail visualization is provided via timeline and graphical dashboards. | |
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Export Formats Available formats for exporting data (CSV, PDF, Excel, etc.). |
No information available | |
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Saved Reports Ability to save and schedule common audit reports. |
Saved and scheduled reports are included per product overview. | |
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Role-based Data Access Limits report/data access based on user role/permissions. |
Role-based data access is implemented via permissions and access control. | |
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Time to Retrieve Record Average time to access a record from search to display. |
No information available | |
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Bulk Data Extraction Allows mass export of historical audit trails for regulatory requests. |
Bulk data extraction for regulatory and audit requests is supported. | |
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Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords. |
Keyword tagging and search are available for organizing audit records. | |
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Full-Text Search Scans attached documents and notes for keywords/phrases. |
Full-text search is part of advanced search features. |
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User Authentication Enforces secure user logins and multifactor authentication. |
User authentication and optional multifactor authentication are supported. | |
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Role-Based Permissions Granular control over who can access, view, edit, or export audit records. |
Role-based/granular permissions are configurable for all audit records. | |
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Encryption at Rest All records are encrypted when stored on disk. |
Encryption at rest is stated as part of security and compliance. | |
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Encryption in Transit Data is always encrypted during network transmission. |
Encryption in transit using TLS/SSL is explicitly referenced. | |
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Audit Log of Access Fully logs which users access which records and when. |
Audit log of user/data access is part of core audit capabilities. | |
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Session Timeout Sessions auto-expire after set period of inactivity. |
Session timeout and automatic logoff supported per MetricStream security documentation. | |
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Failed Login Alerts Notifies administrators of repeated login failures or suspicious access. |
Failed login alerts and suspicious-access notifications are standard in MetricStream. | |
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Granular Field Masking Sensitive fields (SSN, addresses, etc.) are masked unless explicitly permitted. |
Granular field masking for sensitive data is mentioned in security controls. | |
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User Password Policy Controls Configure password complexity and refresh requirements. |
User password policy controls are configurable. | |
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Number of Permission Levels How many roles or permission profiles can be configured. |
No information available |
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Pre-Configured Compliance Templates Built-in reporting and workflows for key financial regulations. |
Pre-configured compliance templates for key financial regulations are advertised. | |
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Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts. |
Custom policy rule engine is featured under compliance automation. | |
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Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies. |
Audit readiness dashboard presented as visualization of compliance status. | |
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Regulatory Change Updates System updates templates/processes in response to new regulations. |
Regulatory change updates are provided to keep compliance automated and current. | |
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Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention. |
Automated exception alerts for compliance controls and workflows are included. | |
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Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules. |
Custom compliance/ad-hoc reporting supported. | |
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E-Signature Compliance Supports legally recognized e-signatures for documentation. |
MetricStream supports legally-valid e-signature workflows. | |
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Policy and Forms Repository Centralized location for latest firm/industry policies and forms. |
Policy and forms repository included in policy management module. | |
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Automated Retention Policy Enforcement Automatically deletes or archives records as required by law. |
Automated enforcement of data retention policies is described as a compliance feature. | |
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Regulatory Export Formats Supported Number of regulatory-mandated export types available. |
No information available |
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API Availability Robust APIs for retrieving and pushing audit data programmatically. |
API availability is described (REST APIs for integration). | |
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Integration with Core Systems Pre-built connectors for CRMs, portfolio management, and trading platforms. |
Integration with systems such as CRM, risk, and portfolio management is advertised. | |
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Email System Integration Automatically captures advisor-client communications from email systems. |
Email system integration to capture communications is noted. | |
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Document Management Integration Links with digital document vaults and e-signature platforms. |
MetricStream integrates with document management and e-signature platforms. | |
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Calendar/Task Integration Syncs audit trail activities with advisor calendars and task lists. |
Calendar integration for audit scheduling and workflows is included. | |
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Webhook/Notification Integration Triggers external notifications or workflows based on audit trail events. |
Webhook and external notification integration is available via workflow automation. | |
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Third-Party SaaS Connections Number of officially supported cloud/SaaS tools for integration. |
No information available | |
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Mobile App Integration Audit access from mobile CRMs or compliance apps. |
Includes mobile app and cross-platform access for audit records. | |
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Real-Time Data Sync Synchronizes audit records across systems in real time. |
Real-time data synchronization between integrated systems is supported. | |
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Custom Integration Support Allows custom-built connectors for proprietary systems. |
Custom integration support available through SDKs and APIs. |
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Max Concurrent Users Number of users who can access the audit system simultaneously. |
No information available | |
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System Uptime SLA Guaranteed uptime for the service infrastructure. |
No information available | |
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Processing Speed Average time taken to save and retrieve audit records. |
No information available | |
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Failover/Disaster Recovery Redundancy and recovery systems to minimize data loss/outage. |
Failover and disaster recovery are included in MetricStream’s cloud offering. | |
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Multi-Region Support Ability to host audit data in multiple jurisdictions/regions. |
Multi-region and global data hosting supported for compliance. | |
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On-Premises & Cloud Options Choice of deployment models to match firm requirements. |
MetricStream offers both on-premises and cloud deployment options. | |
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Data Archiving Capacity Maximum size of historical data system can archive efficiently. |
No information available | |
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Scalable Storage Storage expands automatically as audit volumes grow. |
Storage automatically scales with data volume as per cloud documentation. | |
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Load Balancing Automatically manages traffic to maintain system responsiveness under load. |
Load balancing provided through cloud infrastructure. | |
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Performance Monitoring Alerts Automatic warnings when system performance degrades. |
Performance monitoring and alerting included for uptime and responsiveness. |
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Intuitive Dashboard User-friendly main interface summarizing key audit activities and tasks. |
User dashboard is intuitive and customizable. | |
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Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences. |
View customization available for user screens. | |
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Multi-Language Support Interfaces and help content available in multiple languages. |
Multi-language UI is listed as a feature. | |
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Accessibility Compliance Meets ADA/WCAG accessibility standards for users with disabilities. |
Accessibility compliance to ADA/WCAG is stated. | |
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Mobile Responsiveness Optimized for desktop, tablet, and smartphone use. |
Mobile responsiveness and usability on all devices are supported. | |
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Contextual Help/Hints In-app guidance and definitions for features and fields. |
Contextual help and tooltips are present in the UI. | |
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Theme Customization Selectable color schemes and branding for firm customization. |
Theme and brand customization is available. | |
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Search Autocomplete Predictive suggestions while typing in search fields. |
Search autocomplete is available in search functions. | |
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Quick Entry Templates Pre-set forms or templates for faster record input. |
Quick entry templates for common tasks are supported. | |
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Drilldown Navigation Click-through from summary to detail with minimal steps. |
Drilldown navigation from dashboards to details available. |
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Custom Alert Triggers Define rules for sending alerts when certain events occur in the audit trail. |
Customizable alerts/triggers can be set for compliance and audit events. | |
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Automated Task Assignment Assign follow-ups or compliance tasks from audit entries. |
Automated task assignment features available via workflow automation. | |
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Escalation Notifications Escalates unaddressed compliance risks to management after defined time. |
Escalation notifications for unresolved audit and compliance items are supported. | |
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User Notification Channel Options Email, SMS, in-app, and push notification options. |
No information available | |
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Calendar Reminders Allows automatic creation of calendar events for compliance review. |
Calendar reminders/automation are supported as part of workflow. | |
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Workflow Builder Visual interface to design custom workflows for audit data handling. |
Visual workflow builder is available for setting up automation. | |
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Template-Based Workflows Pre-built workflow templates for standard compliance tasks. |
Template-based workflows for standard audit and compliance are included. | |
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Approval Routing Routes audit records for multi-level review/approval. |
Approval routing with multi-level review is described in workflow engine. | |
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Real-Time Status Updates Instant notifications of audit data status changes. |
Real-time status notifications supported for audit events. | |
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Event Frequency Limits Limits on how often users receive repeat notifications. |
No information available |
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Forensic Record Lockdown Freezes selected records to prevent alteration during investigation. |
Forensic record lockdown supported for legal and compliance investigations. | |
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Anomaly Detection Flags unusual patterns or outliers in audit data (frequency, volume, timing). |
Automated anomaly detection is supported in audit analytics. | |
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Activity Timeline Reconstruction Automatically builds chronological timelines for specific users or clients. |
Timeline reconstruction is part of event and case audit features. | |
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Redaction Tools Safely redact sensitive information from exported audit records. |
Redaction tools for data exports and legal requests are included. | |
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Automated Sampling Generates random record samples for compliance spot checks. |
Automated record sampling is available for compliance checks. | |
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Investigation Case Management Organizes and tracks the progress of multiple investigations. |
Case management tools for investigations are offered. | |
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Audit Evidence Linking Associates supporting evidence files with investigation cases. |
Audit evidence can be linked with investigation cases. | |
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Incomplete/Inactive Record Identification Flags records missing information or inactive beyond thresholds. |
Identification of incomplete/inactive records automatically available. | |
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Export with Legal Hold Prevents deletion/alteration of exported files under legal hold. |
Export with legal hold is supported for legal/litigation readiness. | |
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Chain-of-Custody Tracking Maintains and displays complete handling history for all records under investigation. |
Chain-of-custody tracking for evidentiary trail is included. |
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Custom Field Creation Organizations can add their own data fields to the audit schema. |
Custom fields for audit records are supported. | |
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Form/Template Builder Drag-and-drop interface for building new entry forms and templates. |
Form/template builder for custom entry forms is available. | |
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Scriptable Actions Develop custom scripts triggered by audit events. |
Scripting of custom actions through workflow automation supported. | |
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Custom Branding Upload logos, firm colors, and themes. |
Custom branding for firm logos/themes available. | |
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Localization Support Adapt layouts and content for global offices. |
Localization for global offices is supported. | |
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Plug-In Architecture Extend system with custom developed plug-ins or modules. |
Plug-in/modular architecture available for extensibility. | |
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Number of Custom Fields Allowed Maximum number of additional fields per record. |
No information available | |
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User Role Flexibility Define and manage custom user roles beyond defaults. |
Custom user roles and granular access control are configurable. | |
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Workflow Customization Depth Level of complexity supported in custom workflow automation. |
No information available | |
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Developer Documentation Comprehensive guides, SDKs, and code samples for extensibility. |
Comprehensive developer documentation and SDKs are available to clients. |
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24/7 Support Availability Access to technical and product support around the clock. |
24/7 support and helpdesk availability described on vendor website. | |
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Onboarding Assistance Step-by-step guidance for implementation and user training. |
Dedicated onboarding for implementation and training is available. | |
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Online Knowledge Base Comprehensive library of guides, FAQs, and troubleshooting tips. |
Online knowledge base with guides, FAQs, and help articles is maintained. | |
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Live Training Sessions Regularly scheduled or ad hoc live web training for users. |
Live training sessions are offered for clients. | |
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Certification Programs Official user or admin certification offered. |
User/admin certification programs are available from MetricStream. | |
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Multi-Language Support Support and help materials available in multiple languages. |
Support offered in multiple languages according to documentation. | |
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Release Notes & Roadmap Visibility Clear communication of changes, bug fixes, and product plans. |
Release notes and roadmap visibility provided to all customers. | |
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Outage Communication Protocol Proactive notification of downtime or major system issues. |
Proactive outage communication is included in support protocols. | |
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Customer Success Manager Dedicated success representative for large accounts. |
Large enterprise clients are assigned a customer success manager. | |
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Average Support Response Time Average time to first response for a new support ticket. |
No information available |
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