Sentry Software for Compliance Management

All Compliance Consulting and Regulatory Support Firms are Not the Same


RND Resources, Inc. works hard to prove that compliance can run more efficiently by automating and integrating processes. Doing so, allows firms to grow without being held back by compliance capability restrictions.

      Part of the work we do at RND includes supporting small independent firms or providing compliance partners expertise on a specific matter. We’re able to do this because we have a team of veteran FINRA specialists and FINRA experienced examiners who work closely to identify customized solutions. We find outside of the box solutions that allow firms to prosper and grow without being held back by regulatory demands.


Sentry Software for Compliance Management      Some clients have in-house compliance departments that are over-whelmed with too many reviews and procedure or policy changes. They have a difficult time keeping up the workload. Unable to respond and quickly handle the needs of the firm, they hold the firm back from growth strategy.  In this case RND Resources is able to provide much needed support and guidance. So, the limitations of the compliance department are no longer a limiting factor to the firm’s success. Our services are scalable. We grow with each firm, keeping them in focus and up to date at all times. At the same time, our experts provide the guidance needed to successfully introduce and manage new program offers.


      To further improve our commitment to efficiency and transparency we’ve added Sentry, a software-as-a-service, for our clients. Sentry provides clients with access to our proprietary checklists and processes in a seamless, integrated, software solution.  By combining Sentry with our support team, firms are given greater flexibility to track regulatory data and run up-to-the-minute audits.  Improved response rate and accuracy are just a few of the benefits of the Sentry solution.

Read more about Sentry:  

Sentry Compliance Software

Sentry Compliance Software – Scalable, Secure, 24-7 Access

Sentry Compliance Software Solution  Sentry Compliance Software

Phone: (818) 657-0288

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Sentry Compliance Software

Power up RND with Sentry: The Smart New Team Member


Sentry gives securities brokerage firms an integrated web-hosted solution to help manage compliance and risk. All in one place.

Maximize efficiency with Work-flow Automation for

  • Branch Audits

  • Outside Accounts

  • Risk Management

  • Conflicts of Interest

  • Suitability Assessment

RND Resources, Inc outsourced compliance team uses Sentry to help firms improve efficiency and reduce overhead by providing an easy way for managers to follow regulations and communicate securely with members of their firm and ours.


WorkFlow Communication | Designate tasks and communicate new policies quickly. Print workflow reports to manage timelines and due dates.

Work as a Team with your Software Partner

View dashboards for a birds-eye view of the compliance landscape or review charting trends and analysis to discover actionable insights. Advisors can look up status on new accounts, compliance, and suitability through the program as they follow up with investors. Download data to Excel and PDF for use in internal reports. Trade monitoring, insider information management, conflicts of interest, suitability tests, exception reports, and more make the compliance function transparent and reduce reliance on individual follow up.


Preset Dashboards

Control Access with Preset Menus & Dashboards

We build security in to the system by establishing preset menus with access only to  features applicable to job function. Dashboards show assigned and in-process compliance tasks and policy requirements. Share compliance calendars across the organization as well as a library of compliance rules, policies, and procedures.   


24-7 Access

Software-as-a-Service Secure Login Access, 24-7

Access the database wherever you go. Always be prepared with the information you need. Research data while in meetings. Conduct audits on staff and reporting while out of town at conference. Where ever you are, your compliance database is with you adding an extra layer of confidence and convenience.



Connect with Departments, Tasks, and Outsourced Compliance Teams

Keep an accurate and constant audit trail. Integrate compliance management between  advisors and investors. Stay on top of training and attestation.  Access pattern analysis, risk reports, and suitability reviews. Bring transparency to regulatory compliance and be ready for audits anytime. 


Improve Response

Improve Response Rates with Real-Time Feedback

Visually follow responses and task completion by support staff and employees. Use calendar features, alerts, and build customized reports to manage what you track, rather than track what you manage.  Our platform acts like a perfect assistant, keeping compliance teams informed of progress and outstanding items on the to-do list. 


Maximize Resources

Maximize Resources and Build Growth

By making compliance management flow faster and easier, managers are available for meetings and strategy planning. As you grow with our software service, you’ll be able to work on other tasks that require thought and planning while compliance runs smoothly.  Move ahead of the competition with a strategic competitive advantage in compliance support. 


Regulatory Updates

Regulatory Updates Customized to Fit your Firm

Complex and ever-changing regulations are time consuming to firms. More and more resources are required to keep up with new policies while less time is spent building the practice. Our Software-as-a-Service platform automatically builds in compliance changes and adds alerts, timelines, and calendars to keep you up-to-date.  This frees up managers to work on developing new policies and procedures that  improve efficiency.


Scalable Growth

A Scalable Solution

How will you benefit from our Scalable Solution? We’ll customize the software to fit your needs. As you grow, our software is fully capable of handling new services, programs, and policy changes. Add departments and divisions to meet your overall growth building strategies with out concern that compliance can handle the volume and changes. 


Certified Compliant

SSAE Type II Certified  and CSAE-3416 Compliance

SSAE-16 Type 2 standards are built in to the software. The SSAE standards assure controls of the system are suitably designed to achieve control objectives. CSAE-3416 applies to International standards of suitable audit controls and reporting requirements. As a compliance support firm we know the value and importance of building a compliance software as a service platform that is based on industry standards.


  • Your firm will benefit from a solution that connects outsourced compliance with your administration so managers will always know what is being handled.
  • Reduce cost of labor and management spent on compliance tasks by allowing the software to follow-up on tasks and provide reminders
  • Improve response rate and accuracy through automation. Free up time spent managing compliance tasks by creating workflows with automated reminders and alerts.
  • Always be ready for regulatory exams. Anytime. Get up-to-the-minute tracking of policy changes provides an on-demand audit trail whenever its needed.
  • Our outsourced compliance support will keep the program updated with relevant regulatory changes providing better work-flow automation while we work to identify and adjust for the regulatory landscape.

Trade Compliance: Track trade analytics, risks, and market data, all in one place.
Branch Management: Add and follow Calendar to-do items to keep on-going oversight.
Compliance Dashboard: Sort, add, and manage compliance tasks by priority.
Regulatory Reviews: Transparent audit trail tracks regulatory changes to compliance.

Trade Compliance Branch Management
Compliance Dashboard Regulatory Reviews

Watch the Video and See how easy it is to use Sentry

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