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WORKFLOW & OPERATIONS TECHNOLOGY

Eliminate Bottlenecks. Streamline Processes. Power Scalable Growth. Are bottlenecks, manual processes, or fragmented systems slowing your firm down? Softek’s Workflow & Operations Technology provides the infrastructure needed to organize tasks, strengthen back‑office efficiency, and build a foundation for long‑term scalability.

MAKING WORKFLOW & BACK‑OFFICE PROCESSES MORE EFFICIENT

Softek’s workflow platform supports the end‑to‑end operational needs of Broker‑Dealers, RIAs, and Hybrid firms, addressing the daily challenges tied to high‑volume operational, compliance, and accounting activity. Automated workflow tasks pull from a unified data environment built on your Books & Records and Written Supervisory Procedures (WSPs), ensuring every function is executed consistently and compliantly. Customizable triggers, routing logic, and firm‑defined workflows reduce manual effort—while improving accuracy, visibility, and control. With secure infrastructure, strong data governance, and enterprise‑grade privacy protections, Softek delivers an operational backbone that enhances productivity across every function.

CREATING SYNERGY ACROSS YOUR FIRM

Softek connects back‑office staff, supervisory teams, and Registered Representatives into a single, cohesive operational ecosystem. Acting as an intelligent “office traffic director,” the system aligns communication, workflow management, compliance documentation, and WSP enforcement.

This creates a shared operational rhythm across departments, enabling:

  • Better coordination

  • Faster task resolution

  • Reduced manual rework

  • Clearer accountability

  • Firm‑wide transparency

By standardizing workflows and centralizing data access, Softek ensures that every user operates efficiently and interacts with information in a consistent, controlled environment.

CONTROL & CONFIGURE

Softek provides a deeply configurable environment that supports operational rigor, department‑specific requirements, and firm‑level productivity goals.

BOOKS & RECORDS MANAGEMENT

  • OFAC and CIP compliance with streamlined risk‑alert submission

  • Centralized distribution of official forms

  • Electronic compliance questionnaires

  • LaserApp integration for form generation & archival

  • Eight master reporting groups with 150+ real‑time reports

PROJECT & WORKFLOW MANAGEMENT

  • Unified task‑based workflow system

  • Secure integrated communication for operations & compliance

  • Real‑time status tracking of mandatory or requested tasks

  • Complete ticket lifecycle tracking for audit‑ready documentation

  • Highly configurable back‑office controls including:

  • Task types

  • Workgroups

  • Routing rules

  • Multi‑group workflows

  • Office‑level custom workflows

  • Integrations with document management & e‑signature providers

Every workflow is enforceable, traceable, and built to align operational activity with your WSP, internal governance, and client‑servicing standards.

COMPLIANCE REQUIREMENTS

  • Workflow task distribution, routing & notifications

  • Concentration alerts, performance conditions & billing triggers

  • Registered Representative oversight including nexus requirements & restrictions

UNIFIED. AUTOMATED. SCALABLE

The result is a streamlined, technology‑driven operations framework that reduces cost, eliminates manual friction, and supports firm‑wide accountability.
Softek gives your organization the operational infrastructure needed to grow more efficiently and adapt quickly to new regulatory and business demands.

KEY FEATURES

  • End‑to‑end operational workflow automation

  • WSP‑aligned processes and rule‑based routing

  • Books & Records management with CIP/OFAC compliance

  • Unified task and ticket lifecycle tracking

  • Secure communication embedded directly into workflows

  • 150+ real‑time operational and compliance reports

  • Integration with LaserApp, document management systems & e‑signature tools

  • Office‑specific workflow configurations

  • Multi‑group routing and business‑rule‑driven task automation

  • Real‑time operational status dashboards

BENEFITS

  • Eliminates bottlenecks and improves task turnaround times

  • Ensures consistent, compliant execution of operational workflows

  • Reduces manual workload and operational overhead

  • Enhances transparency across departments and user groups

  • Strengthens Books & Records accuracy and audit readiness

  • Supports scalable growth without increasing staffing costs

  • Improves communication and coordination across the firm

  • Creates a unified, efficient operational environment

Ready to transform your operations? Let's talk about how Softek solutions can deliver the results your firm needs.

Option Risk Monitoring 

Explore how our cutting-edge solutions enabled a client to capture real-time risk exposures effectively. Our case study highlights the innovative approach used to identify high-risk accounts and manage challenges from complex option strategies.

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