Case Study: Leading Financial Planning Company achieves streamlined audit, risk, and compliance management with MetricStream

A Financial Planning Leader Streamlines And Simplifies Audit, Risk and Compliance Management

A leading U.S. financial planning company that provides a range of savings and spending products faced mounting complexity as it expanded: localized, stand‑alone systems created isolated workflows, manual data entry and reporting, limited real‑time visibility, fragmented documentation, and difficulty scaling compliance with complex regulations such as SOX, MAR and FDICIA across the enterprise.

The company implemented MetricStream’s integrated GRC platform—combining risk, audit, compliance, issue and policy/document management on a single repository with automated workflows, dashboards and drill‑down reporting. The solution broke down silos, eliminated manual processes, improved real‑time visibility and tracking, streamlined audit and remediation cycles, and enabled consistent, scalable compliance while freeing resources for core business priorities.