Feel nervous facing inquiry from auditors?
Our Surveillance and Compliance solutions are the antidote to your challenges, pre- and post-trade.
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.
Let your team focus on high risk transactions with configurable, rules-based alerting.
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.
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.