SURVEILLANCE AND COMPLIANCE

Automated, Alert-Driven Surveillance and Compliance Processing Solution

Feel nervous facing inquiry from auditors?
Our Surveillance and Compliance solutions are the antidote to your challenges, pre- and post-trade.

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Compliance concerns?
We have the perfect solution.

With rules-based, transaction flagging, and alert-driven auditing, your firm will make fewer missteps. And when facing inquiry from auditors, you’ll have the accurate information you need right at your fingertips.

Rules-Based, Alert-Driven Auditing and Compliance Automation Solutions

Arm your back office with rules-based alerts that meet your needs (because you write the rules). Plus, you can put important compliance processes on autopilot and arm employees with the exact documentation they’ll need when an auditor comes knocking.

  • Automate your OFAC and FinCen contact review
  • Automate 36-month mailing, address change, suitability, and welcome letters
  • Manage your licenses, flag trades based on license status, and send an alert to your rep if there’s a problem
  • Automatically flag transactions based on the rules you’ve designed

Pre-trade, post-trade, and ongoing compliance support.

Digital trade surveillance.

Let your team focus on high risk transactions with configurable, rules-based alerting.

Compliance on autopilot.

Automate OFAC and FinCEN contact reviews, 36-month mailings, address changes, and welcome letters. Plus, set up trade- and account-level license checking with alerts to your rep if there’s a problem.

Audit ready, anytime.

When auditors ask, reply with accurate data that’s right at your fingertips. The Surveillance and Compliance solutions have deep reporting capabilities to respond to the most complex request.

Ready to talk surveillance?

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