Compliance Monitoring & Supervision
Proper controls must be evident
In today's complex regulatory environment, your firm faces increasing pressure to demonstrate evidence of proper controls for managing supervisory procedures, conflicts of interest, and adherence to corporate policies. The cost of failing to comply is high, putting your firm at risk for enforcement actions, fines, and restitutions. Being able to demonstrate a thorough and effective compliance monitoring program can help satisfy regulators and keep your firm safe from risk.
Supervise successfully and remain compliant
Our Compliance Supervision solutions provide coverage for conduct and conflict-related issues and ensure that your firm is keeping pace with changing regulatory requirements through:
- Proven analytical models with intelligent risk scoring and fine-tuned thresholds
- Simplified transaction supervision empowering branch supervisors
- Powerful investigation and audit capabilities available without the need for IT involvement
- Centralized risk case management that efficiently resolves investigations
- An enterprise-wide platform that provides a flexible environment for adapting to global regulations
Avoid regulatory scrutiny with a Compliance Monitoring Program
Prepare your firm for success and avoid regulatory penalties for lax supervision with a structured, demonstrable surveillance program. Learn more about our Compliance Supervision solution offerings:
Comprehensive sales practices and suitability compliance.
Protection from the repercussions of conflicts of interest and insider dealing.