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SAI360 Audit Management from SAI360
Comprehensive audit management with configurable workflows, policy linking, and robust audit trail recording of all actions and evidence for internal, IT, and regulatory audits.
Product analysis by function
Audit Trail Systems for Compliance and Risk Management
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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Data Capture & Recordkeeping
(7 Yes /7 Known /10 Possible features)
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Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital). |
SAI360's documentation specifies it logs a full audit trail of all interactions, including task assignments, evidential uploads, and approvals—covering digital, in-person, and system records. | |
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Automatic Timestamping Captures exact date and time of every change or entry. |
System automatically timestamps all actions; this is a standard feature highlighted in their audit trail sections. | |
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Document Attachment Support Allows the secure upload and association of supporting documents with audit entries. |
Audit records support document uploads and evidence linking as part of each entry, confirmed in the product overview. | |
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Editable Notes Ability to add and update advisor notes for context while maintaining previous versions. |
Supports annotation and editable advisor/auditor notes, with versioning so edits are preserved in the audit trail. | |
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Change Log/Version History Keeps a record of all data modifications with before/after state. |
Offers change log/version history, showing before/after states for all entries as part of its robust audit functionality. | |
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Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity. |
Records are immutable once committed to the audit trail, with controls to prevent alteration or deletion. | |
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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 supported for data migration and system integration per documentation. | |
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Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail. |
No information available |
Search, Retrieval & Reporting
(7 Yes /7 Known /10 Possible features)
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Advanced Search Robust filters (date, client, advisor, event type, etc.) for quickly finding records. |
Advanced search tools are advertised, with filters by user, record type, status, time, etc. | |
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Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations. |
Customizable and exportable compliance/audit reports are natively available. | |
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Audit Trail Visualization Timeline or graphic visualization of client-interaction histories. |
Product screenshots and descriptions show timeline-based audit visualizations. | |
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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. |
Can save and schedule recurring audit and compliance reports; workflow engine supports this. | |
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Role-based Data Access Limits report/data access based on user role/permissions. |
Role-based access control is standard to limit access to confidential audit data depending on the user's role. | |
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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. |
System supports bulk data exports for large-scale regulatory or investigative data requests. | |
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Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords. |
No information available | |
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Full-Text Search Scans attached documents and notes for keywords/phrases. |
Full-text search including document attachments and freeform notes is documented as available. |
Security & Access Control
(9 Yes /9 Known /10 Possible features)
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User Authentication Enforces secure user logins and multifactor authentication. |
User sign-on authentication, with SSO and MFA options, is described as available. | |
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Role-Based Permissions Granular control over who can access, view, edit, or export audit records. |
Role-based permissions can be fine-tuned for audit record view/edit/export per the administration guide. | |
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Encryption at Rest All records are encrypted when stored on disk. |
All data is encrypted at rest (often AES-256), per security architecture documentation. | |
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Encryption in Transit Data is always encrypted during network transmission. |
Data in transit encrypted via TLS/SSL, stated as standard in security features. | |
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Audit Log of Access Fully logs which users access which records and when. |
An audit log tracks which users access which records and when (standard for audit trails). | |
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Session Timeout Sessions auto-expire after set period of inactivity. |
Session timeout after inactivity is part of the configurable security options. | |
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Failed Login Alerts Notifies administrators of repeated login failures or suspicious access. |
System provides alerts and monitoring for failed/suspicious login attempts. | |
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Granular Field Masking Sensitive fields (SSN, addresses, etc.) are masked unless explicitly permitted. |
Sensitive data field masking (e.g., SSN) included in security/permissions documentation. | |
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User Password Policy Controls Configure password complexity and refresh requirements. |
Password policy enforcement configurable (complexity, change intervals) per admin documentation. | |
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Number of Permission Levels How many roles or permission profiles can be configured. |
No information available |
Regulatory Compliance Support
(9 Yes /9 Known /10 Possible features)
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Pre-Configured Compliance Templates Built-in reporting and workflows for key financial regulations. |
Regulatory compliance templates shipped with the product, especially for US/EU financial regulations. | |
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Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts. |
Rules engine for custom policies and compliance triggers/alerts is described. | |
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Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies. |
Compliance dashboards with status, exceptions, and task follow-up are key product features. | |
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Regulatory Change Updates System updates templates/processes in response to new regulations. |
Product documentation points to frequent updates for regulatory change management. | |
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Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention. |
Automated exception alerts are standard for audit and workflow triggers. | |
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Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules. |
Custom reporting flexible enough to support documentation for varied local/global regulations. | |
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E-Signature Compliance Supports legally recognized e-signatures for documentation. |
E-signature compliance for documentation and audit evidence attachments is listed as supported. | |
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Policy and Forms Repository Centralized location for latest firm/industry policies and forms. |
Central policy/forms repository is described for document management/controls. | |
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Automated Retention Policy Enforcement Automatically deletes or archives records as required by law. |
Automated retention policy enforcement is described (i.e., scheduled archival/deletion). | |
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Regulatory Export Formats Supported Number of regulatory-mandated export types available. |
No information available |
Integration & Interoperability
(9 Yes /9 Known /10 Possible features)
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API Availability Robust APIs for retrieving and pushing audit data programmatically. |
REST and other APIs are available for integration; public documentation and integration partners referenced. | |
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Integration with Core Systems Pre-built connectors for CRMs, portfolio management, and trading platforms. |
Connectors for core systems (CRM, ERP, GRC platforms) are specifically advertised. | |
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Email System Integration Automatically captures advisor-client communications from email systems. |
Email system integration to automatically pull advisor-client communication is a feature. | |
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Document Management Integration Links with digital document vaults and e-signature platforms. |
Document management integration (e.g., DocuSign, cloud vaults) supported per product page. | |
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Calendar/Task Integration Syncs audit trail activities with advisor calendars and task lists. |
Calendar/task integrations available for compliance/audit reminders and follow-ups. | |
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Webhook/Notification Integration Triggers external notifications or workflows based on audit trail events. |
Webhook/notification triggers for external workflow automation described in developer documentation. | |
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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. |
Mobile access to audits and compliance tasks via mobile-responsive web or mobile app integration is referenced. | |
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Real-Time Data Sync Synchronizes audit records across systems in real time. |
Real-time data synchronization between SAI360 Audit and related integrated systems established. | |
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Custom Integration Support Allows custom-built connectors for proprietary systems. |
Custom integration support described via API and developer options. |
Scalability & Performance
(5 Yes /5 Known /10 Possible features)
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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 mandatory features for this class of SaaS solution and are referenced in security and compliance documentation. | |
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Multi-Region Support Ability to host audit data in multiple jurisdictions/regions. |
Supports multi-region and multi-jurisdiction data hosting for global compliance. | |
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On-Premises & Cloud Options Choice of deployment models to match firm requirements. |
Supports both cloud and on-premises deployments according to client needs. | |
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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 is described as scalable in product literature. | |
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Load Balancing Automatically manages traffic to maintain system responsiveness under load. |
Load balancing and performance management are built in to the SaaS infrastructure. | |
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Performance Monitoring Alerts Automatic warnings when system performance degrades. |
No information available |
User Experience & Interface
(7 Yes /7 Known /10 Possible features)
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Intuitive Dashboard User-friendly main interface summarizing key audit activities and tasks. |
Provides dashboard and summary main interface for audit task/status overview. | |
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Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences. |
Customizable views and layouts available according to user preference/role. | |
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Multi-Language Support Interfaces and help content available in multiple languages. |
No information available | |
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Accessibility Compliance Meets ADA/WCAG accessibility standards for users with disabilities. |
Accessibility compliance (e.g. WCAG, Section 508) is listed in support documentation. | |
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Mobile Responsiveness Optimized for desktop, tablet, and smartphone use. |
UI is responsive and available via desktop and mobile browser. | |
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Contextual Help/Hints In-app guidance and definitions for features and fields. |
Contextual help is offered throughout the application interface. | |
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Theme Customization Selectable color schemes and branding for firm customization. |
UI allows for branding and color scheme customization. | |
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Search Autocomplete Predictive suggestions while typing in search fields. |
No information available | |
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Quick Entry Templates Pre-set forms or templates for faster record input. |
No information available | |
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Drilldown Navigation Click-through from summary to detail with minimal steps. |
Drill-down navigation from dashboards to individual record detail is highlighted. |
Notifications, Alerts & Workflow Automation
(8 Yes /8 Known /10 Possible features)
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Custom Alert Triggers Define rules for sending alerts when certain events occur in the audit trail. |
Custom alert and notification triggers are configurable. | |
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Automated Task Assignment Assign follow-ups or compliance tasks from audit entries. |
Workflow/task automation includes assigning follow-ups and compliance tasks. | |
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Escalation Notifications Escalates unaddressed compliance risks to management after defined time. |
Escalation notification for unresolved tasks/risks is available in workflow templates. | |
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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 for compliance are part of audit workflow automation. | |
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Workflow Builder Visual interface to design custom workflows for audit data handling. |
Workflow builder with visual interface is referenced. | |
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Template-Based Workflows Pre-built workflow templates for standard compliance tasks. |
Includes pre-built workflow templates for standard audit/compliance process. | |
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Approval Routing Routes audit records for multi-level review/approval. |
Approval routing and multi-step review of audits is supported. | |
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Real-Time Status Updates Instant notifications of audit data status changes. |
Real-time update notifications for status changes are standard in workflow engine. | |
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Event Frequency Limits Limits on how often users receive repeat notifications. |
No information available |
Audit & Investigation Tools
(10 Yes /10 Known /10 Possible features)
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Forensic Record Lockdown Freezes selected records to prevent alteration during investigation. |
Forensic record lockdown to prevent alteration of records under investigation is supported. | |
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Anomaly Detection Flags unusual patterns or outliers in audit data (frequency, volume, timing). |
Audit engine supports anomaly detection for identifying unusual entries and patterns. | |
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Activity Timeline Reconstruction Automatically builds chronological timelines for specific users or clients. |
Timeline and activity sequencing is automatic for reconstruction during investigations. | |
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Redaction Tools Safely redact sensitive information from exported audit records. |
Redaction tools for sensitive information in exports are included. | |
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Automated Sampling Generates random record samples for compliance spot checks. |
Automated sampling for spot checks is available. | |
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Investigation Case Management Organizes and tracks the progress of multiple investigations. |
Case management for investigations—tracking task/evidence/notes—offered as core functionality. | |
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Audit Evidence Linking Associates supporting evidence files with investigation cases. |
Allows linking evidence files to audit/investigation case records. | |
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Incomplete/Inactive Record Identification Flags records missing information or inactive beyond thresholds. |
Enables incomplete/inactive record identification and follow-up. | |
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Export with Legal Hold Prevents deletion/alteration of exported files under legal hold. |
Export with legal hold functionality for litigation/investigation holds is referenced. | |
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Chain-of-Custody Tracking Maintains and displays complete handling history for all records under investigation. |
Chain-of-custody tracking described for high-integrity audit/investigation processes. |
Customization & Extensibility
(7 Yes /7 Known /10 Possible features)
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Custom Field Creation Organizations can add their own data fields to the audit schema. |
Allows creation of custom fields to extend default data schema. | |
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Form/Template Builder Drag-and-drop interface for building new entry forms and templates. |
Form/template builder for custom audit/data entry forms with drag-and-drop interface. | |
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Scriptable Actions Develop custom scripts triggered by audit events. |
Scriptable actions are supported for event-based automation/extensions. | |
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Custom Branding Upload logos, firm colors, and themes. |
Custom branding, including logo and theme, is supported. | |
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Localization Support Adapt layouts and content for global offices. |
No information available | |
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Plug-In Architecture Extend system with custom developed plug-ins or modules. |
System can be extended with plug-ins or custom modules via a documented architecture. | |
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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. |
User roles are flexible and can be defined beyond system defaults. | |
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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, including API and SDKs, available for extensibility. |
Support, Training & Vendor Reliability
(8 Yes /8 Known /10 Possible features)
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24/7 Support Availability Access to technical and product support around the clock. |
SAI360 provides 24/7 support as stated on their support services web page. | |
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Onboarding Assistance Step-by-step guidance for implementation and user training. |
Guided onboarding and training for new customers is advertised. | |
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Online Knowledge Base Comprehensive library of guides, FAQs, and troubleshooting tips. |
Online knowledgebase with guides and support documentation is available. | |
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Live Training Sessions Regularly scheduled or ad hoc live web training for users. |
Live training webinars and sessions offered as part of customer onboarding and ongoing needs. | |
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Certification Programs Official user or admin certification offered. |
Official certifications for system administrators and auditors noted as available. | |
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Multi-Language Support Support and help materials available in multiple languages. |
No information available | |
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Release Notes & Roadmap Visibility Clear communication of changes, bug fixes, and product plans. |
Product change logs and roadmaps visible to customers. | |
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Outage Communication Protocol Proactive notification of downtime or major system issues. |
Outage communication protocols and proactive customer alerts are referenced. | |
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Customer Success Manager Dedicated success representative for large accounts. |
Customer success manager/program for larger accounts is offered. | |
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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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