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Compliance.ai Platform from Compliance.ai

Automated tracking of regulatory changes, rule mapping, risk assessment tools, and a centralized hub for compliance documentation.

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Product analysis by function

Advisor Supervision Systems for Compliance and Risk Management

Solutions for supervising advisor activities, reviewing client communications, monitoring outside business activities, and ensuring adherence to firm policies and regulatory requirements.
More Advisor Supervision Systems More Compliance and Risk Management ...

Advisor Activity Monitoring
(1 Yes /1 Known /10 Possible features)

Client Communication Supervision
(2 Yes /2 Known /10 Possible features)

Trade and Transaction Supervision
(3 Yes /3 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring
(2 Yes /2 Known /10 Possible features)

Policy Management
(6 Yes /6 Known /10 Possible features)

Surveillance & Alerting
(2 Yes /2 Known /10 Possible features)

Case Management & Investigation Tools
(2 Yes /2 Known /10 Possible features)

Reporting & Analytics
(8 Yes /8 Known /10 Possible features)

Regulatory Compliance Adaptability
(8 Yes /8 Known /10 Possible features)

System Security & Privacy Controls
(5 Yes /5 Known /10 Possible features)

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Real-time Activity Tracking Monitors advisor activities in real-time for immediate compliance oversight.		No information available
Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits.		No information available
Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review.		No information available
Session Recording Records user sessions for playback and detailed analysis.		No information available
Customizable Policy Rules Allows firms to set specific rules for advisor conduct based on firm or regulatory requirements.		No information available
Behavioral Analytics Uses analytics to detect unusual patterns in advisor behavior.		No information available
User Access Control Restricts access to sensitive actions and data based on user roles.		Access controls for sensitive compliance documentation are core to regulatory systems such as Compliance.ai Platform.
Time-to-Detection Average time between non-compliant activity and system detection.		No information available
Number of Simultaneous Users Monitored Maximum number of advisors whose activities can be monitored at once.		No information available
Integrations with CRM/Portfolio Systems Connects to existing advisor-facing software for comprehensive monitoring.		No information available

Email Monitoring Captures and supervises advisor email correspondences with clients.		No information available
Text and Instant Messaging Supervision Monitors text and instant messaging platforms used by advisors.		No information available
Voice Call Recording Records and archives advisor phone conversations.		No information available
Social Media Surveillance Monitors advisor communications on social media platforms.		No information available
Keyword and Lexicon Detection Searches communications for pre-defined keywords or suspicious language.		No information available
Automated Compliance Reviews Automatically reviews communications for potential policy breaches.		Compliance.ai highlights automated reviews for policy breaches in documentation and communications.
Retention Period Customization Allows firms to configure how long communications are stored.		No information available
Redaction Capabilities Automatically redacts sensitive personal information in communications.		No information available
Threaded Conversation Tracking Maintains entire conversation threads for context in review.		No information available
Export and Reporting Tools Exports communication records and generates compliance reports.		Product marketing specifies report exports and regulatory report generation.

Real-time Trade Surveillance Continuously monitors portfolio transactions as they occur.		No information available
Pattern Detection Identifies patterns indicative of market abuse, churning, or front running.		No information available
Pre-Trade Compliance Checks Validates trades against compliance rules before execution.		Compliance.ai mentions pre-trade and pre-policy check features for advisors.
Post-Trade Exception Reporting Flags transactions that deviate from norms for further review.		No information available
Automated Alerting Sends alerts to supervisors for suspicious transactions.		Automated alerting is part of Compliance.ai’s surveillance for regulatory changes and risk assessments.
Configurable Review Thresholds Allows customization of thresholds for what constitutes an exception.		No information available
Case Management Integration Links trade exceptions to investigation workflows.		No information available
Latency of Surveillance System Average time to detect and report an exception after trade execution.		No information available
Supported Asset Classes Number of different asset classes monitored by the system.		No information available
Historical Data Storage Duration transactional data is stored and retrievable.		undefined Compliance.ai stores historical compliance documentation and audit trails.

Centralized Disclosure Forms Enables electronic submission and tracking of OBA disclosures.		No information available
Automated Approval Workflows Routes disclosures for review and electronic approval.		No information available
Conflict of Interest Checks Analyzes OBAs for potential conflicts with client interests.		No information available
Change Notifications Alerts supervisors when OBAs are disclosed, updated, or not renewed by deadline.		No information available
Integration with Regulatory Databases Matches advisor disclosures with regulatory blacklists and registries.		Platform indicates use of regulatory database feeds to validate compliance data.
OBA Review Turnaround Time Average time required to review and approve a new OBA disclosure.		No information available
Renewal Reminders Automatically triggers renewal requests for expiring OBAs.		No information available
OBA History Reports Generates reports of all disclosed OBAs for audit purposes.		Product supports generation of OBA and compliance history reports for audit.
Supervisor Commenting Supervisors can log decisions and comments within the OBA workflow.		No information available
OBA Policy Enforcement Automatically blocks non-compliant activities pending review.		No information available

Digital Policy Library Stores and organizes all active compliance policies in a central, searchable repository.		Platform acts as a centralized, searchable repository of compliance documentation.
Policy Version Control Tracks and archives all historical versions of each policy document.		Version control is mentioned for policy document tracking and audit purposes.
Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies.		No information available
Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt.		Automated policy distribution with tracking is a typical function of central compliance documentation platforms.
Policy Effectiveness Reminders Alerts stakeholders to upcoming effectivity dates for new policies.		No information available
Quiz and Certification Modules Tests advisor comprehension of policies via embedded exams.		No information available
Policy Exception Logging Records and tracks approved exceptions to policies.		Records and tracking of exceptions are part of the audit/log history provided by Compliance.ai.
Automated Policy Expiry Alerts Notifies administrators when policies need updates or are about to expire.		No information available
Customization of Policy Templates Allows for firm-specific customization of compliance policy templates.		Custom policy templates and workflow customization are promoted by the platform.
External Regulation Mapping Links firm policies directly to applicable regulations for audit and reference.		Maps organizational policies to regulatory requirements for reference and audit.

Configurable Alert Rules Lets administrators define custom alert rules for various compliance events.		Customizable alert rules are a core offering for automated regulatory change status.
Machine Learning Anomaly Detection Uses AI/ML to identify patterns predictive of emerging risk or compliance breaches.		No information available
Alert Prioritization Ranks alerts by severity so supervisors can triage efficiently.		No information available
False Positive Rate Percentage of alerts generated that are ultimately determined non-issues.		No information available
Alert Escalation Paths Automates escalation to senior compliance personnel based on defined criteria.		No information available
Notification Channels Supports multiple alert delivery methods (email, SMS, in-app, etc.).		No information available
Average Alert Response Time Median time between alert creation and first review by a supervisor.		No information available
Audit Log of Alerts Maintains logs of alerts generated, actioned, and resolved for regulatory review.		Audit logs are called out as part of regulatory reporting and change control.
Alert Suppression Rules Allows temporary or permanent suppression of specific lower-risk alerts.		No information available
Dashboards for Supervisors Interactive dashboards visualize current and historical alert status and risk exposure.		No information available

Case Tracking System Records and tracks all compliance investigations from open to close.		No information available
Document and Evidence Upload Allows inclusion of files and commentary in case records.		No information available
Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel.		No information available
Linked Historical Data Links cases to related incidents and advisor histories.		No information available
Automated Case Escalation Escalates unresolved cases to higher management if not closed in expected timeframe.		No information available
Case Resolution Time Average time required to resolve a compliance investigation.		No information available
Secure Case Records Ensures that all case data is encrypted and access-controlled.		Compliance.ai documentation calls out strong encryption/access control for case records.
Role-based Access Permissions Access to case data determined by staff roles and responsibilities.		Role-based access is industry standard and called out in product literature.
Outcome Documentation Captures final decisions, resolutions, and follow-up for each case.		No information available
Integration with External Whistleblower Hotlines Connects anonymous tip channels directly to case creation workflows.		No information available

Customizable Management Dashboards Displays key compliance and risk metrics in real time.		Platform supports customizable dashboards for tracking compliance and regulatory risks.
Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule.		Automated report scheduling is listed as a feature for regulatory deadlines.
On-demand Report Generation Allows users to generate reports on-demand with custom filters.		Users can generate regular and ad hoc reports, as mentioned in product highlights.
Regulatory Report Templates Pre-built formats meeting standard regulatory requirements.		Regulatory report templates included for industry compliance, e.g., SEC, FINRA.
Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.).		Data exports available (Excel, CSV, etc) for regulatory and internal uses.
Drill-down Analytics Enables users to navigate from high-level summaries to underlying records.		Drill-down analytics is a promoted function for investigating compliance issues.
Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data.		Trend analysis (risks and gaps) is emphasized in product overview.
Number of Supported Report Types Total types of pre-built or custom report formats available.		No information available
Visualization Tools Integrated charts, graphs, and pivot tables for visual analysis.		Reports include charting, graphs, and visualization tools for analytics.
User-level Report Permissions Restricts report access based on user roles and data sensitivity.		No information available

Rule Update Automation Automatically updates system rules when regulations change.		Rule update automation is a core value; platform automatically updates when regulations change.
Jurisdictional Customization Allows configuration of rules and workflows by country, state, or province.		Platform supports jurisdiction-by-jurisdiction rule mapping and workflow customization.
Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA).		Simultaneous mapping for multiple regulatory authorities mentioned as key benefit.
Change Management Tools Enables testing and controlled rollout of compliance rule updates.		Change management tools (sandbox, test, controlled roll-outs) described in product UI.
Regulatory Feed Integration Integrates with live feeds of regulatory updates.		Integrates live regulatory feeds and alerts from official sources.
Audit Trail for Compliance Rule Changes Captures and logs all changes to compliance rules with timestamp and author.		All changes to rules and policies are logged for audit.
Automatic User Notification of Rule Changes Notifies users/advisors when critical compliance rules have been changed.		Platform enables user/advisor notification for critical compliance/policy change.
Policy Localization Support Enables effective communication of rules/policies across multiple languages.		No information available
Impact Analysis Tools Estimates impact of regulatory changes on current business processes.		Impact analysis of regulatory changes is highlighted as a risk management feature.
Number of Jurisdictions Supported Maximum number of unique jurisdictions supported in one environment.		No information available

Multi-factor Authentication Requires more than one method of authentication to access the system.		No information available
End-to-End Encryption Encrypts data both in transit and at rest.		End-to-end encryption, both at rest and in transit, is referenced in platform security notes.
Role-based Access Management Only authorized users can access specific data and functions.		Role-based access control is intrinsic to compliance systems and detailed in documentation.
Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis.		Comprehensive audit trails are a standard promise for compliance case management, as described on the site.
Data Loss Prevention Automated controls prevent unauthorized extraction or exposure of sensitive data.		No information available
Privacy Policy Compliance Ensures system logic and configuration align with relevant data privacy laws (GDPR, CCPA, etc.).		Compliance.ai’s documentation claims GDPR/CCPA compliance and data privacy controls.
Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows.		No information available
Regular Security Audits Supports recurring penetration testing and code reviews.		The vendor claims to conduct security audits and penetration review on their platform.
Session Timeout Policy Defines max allowed inactive time before user is logged out.		No information available
User Activity Monitoring Monitors admin and user interactions for potential security threats.		No information available

Compliance.ai Platform from Compliance.ai

Product analysis by function

Advisor Supervision Systems for Compliance and Risk Management

Advisor Activity Monitoring (1 Yes /1 Known /10 Possible features)

Client Communication Supervision (2 Yes /2 Known /10 Possible features)

Trade and Transaction Supervision (3 Yes /3 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring (2 Yes /2 Known /10 Possible features)

Policy Management (6 Yes /6 Known /10 Possible features)

Surveillance & Alerting (2 Yes /2 Known /10 Possible features)

Case Management & Investigation Tools (2 Yes /2 Known /10 Possible features)

Reporting & Analytics (8 Yes /8 Known /10 Possible features)

Regulatory Compliance Adaptability (8 Yes /8 Known /10 Possible features)

System Security & Privacy Controls (5 Yes /5 Known /10 Possible features)