Firm-Wide Rollover Oversight Without the Complexity

Every rollover recommendation is unique to the investor.

For compliance teams, however, the challenge is not reviewing a single recommendation. It is maintaining consistent oversight across hundreds or thousands of recommendations made throughout the firm.

InvestorCOM’s Compliance Dashboard gives teams a clear, firm-wide view of rollover activity. It brings together total rollovers, assets transferred and Best Interest Scores in one place, helping compliance leaders understand both the scale and quality of the advice being delivered.

Teams can then examine each recommendation across key factors such as cost, service and fit. This makes the best-interest rationale easier to understand, document and defend during regulatory reviews.

The dashboard also provides visibility into advisor adoption. Compliance teams can see how consistently the application is being used and understand the mix of rollover activity occurring across the organisation.

Potential risks are surfaced automatically. Cost outliers, low Best Interest Scores and unusually high rollover amounts can be identified early, allowing teams to investigate and resolve concerns before they become larger compliance issues.

By combining firm-wide insight with recommendation-level detail, InvestorCOM helps firms strengthen oversight without adding unnecessary complexity.