- Milemarker™ Solutions
- I AM A
- CCO
Finally. Compliance Data That
Actually Makes Sense.
Stop chasing data across 12 systems to build a single compliance report. Stop wondering if you caught every exception. Stop explaining why your oversight took three weeks instead of three days.
Milemarker™ gives CCOs the unified view and control layer compliance actually needs.
- The CCO Reality
Compliance Shouldn't Feel Like Detective Work
Exception investigation
Supervisory review
Audit preparation
Every compliance task becomes a data archaeology project.
- What Milemarker™ Delivers
The Control Layer
Compliance Deserves
Unified Supervisory Data
All your compliance-critical information in one place. Trading data, client communications, advisor activities, and documentation—connected and ready for analysis.
Dynamic Case Resolution
Standardized workflows for investigations, reviews, and approvals. Every case follows the same process, captures the same data, and creates the same audit trail
Exception-Based Monitoring
Audit-Ready Documentation
The Transformation
- Before Milemarker™
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Exception investigation = data scavenger hunt across 6 systems
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Supervisory reviews = manual report building every time
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Audit preparation = weeks of stress and spreadsheets
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Compliance reporting = "let me get back to you"
- After Milemarker™
Exception investigation
unified data view with complete context
Supervisory reviews
standardized workflows with automatic documentation
Audit preparation
reports that update themselves
Compliance reporting
real-time dashboards and instant answers
Real COO Results
Thanks to Milemarker™, our leadership team and advisors now have greater access to the data we need to effectively run our business.
Laura Hubbell
Chief Information Officer at SignatureFD
70%
faster exception resolution
standardized
standardized supervisory review process
automated
audit trail generation
Real-time
compliance monitoring
for CCOs
Key Capabilities
Dynamic Case Resolution
-
Standardized workflows for investigations & review
-
Automatic data aggregation from all relevant sources
-
Built-in approval processes & documentation
-
Complete audit trails for every decision
Exception Management
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Real-time monitoring based on your compliance rules
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Automatic flagging of potential violations
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Intelligent routing to appropriate reviewers
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Status tracking & resolution reporting
Supervisory Oversight
-
Unified advisor activity monitoring
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Client communication surveillance
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Trading pattern analysis
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Performance & conduct tracking
Regulatory Reporting
-
Automated compliance dashboards
-
Exception trend analysis
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Audit-ready documentation
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Risk assessment & mitigation tracking
Built For
Compliance Workflows
Risk-Based Monitoring
Focus your attention where it matters most. Automated scoring helps prioritize high-risk activities & exceptions.
Standardized Processes
Every investigation, review & approval follows the same documented process. Consistency across your entire compliance program.
Complete Documentation
Every action, decision & approval is automatically documented with timestamps, reasoning & supporting data.
Regulatory Alignment
Built-in frameworks for common regulatory requirements. Customize workflows to match your firm’s specific obligations.
The Compliance
Advantage
Stay Ahead of Issues
Proactive monitoring catches problems before they become violations. Address issues while they’re still manageable.
Consistent Oversight
Standardized processes ensure every advisor, office, and situation gets the same level of review and documentation.
Defensible Decisions
Complete audit trails and systematic documentation provide clear evidence of your supervisory processes.
Strategic Focus
Spend time on compliance strategy instead of data gathering. Let automation handle the routine work.
That Works
Implementation
Week 1:
Connect compliance-critical systems & validate data flows.
Week 2:
Configure exception rules & case resolution workflows.
Week 3:
Train compliance team & establish new oversight procedures.
Week 4:
Go live with automated monitoring & case management.
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No compliance gaps.
We implement alongside your current processes.
-
No system disruption.
Your existing oversight continues uninterrupted.
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No documentation loss.
Historical data and audit trails transfer seamlessly.
Ready to Transform Your Compliance Program?
Stop playing compliance catch-up. Start getting ahead of issues.
Free analysis of your current oversight efficiency.
Step-by-step approach to compliance automation.
Advanced Analytics
Pattern recognition for emerging risks, trend analysis across advisor populations, and predictive indicators for potential issues.
Regulatory Adaptation
Flexible framework that adapts to changing regulations and evolving compliance requirements.
Cross-Entity Oversight
Unified compliance monitoring across multiple offices, affiliates, or business lines.
Integration Ready
Works with your existing compliance tools, surveillance systems, and regulatory reporting platforms.