Risk assessment, audit management, compliance reporting, and workflow automation designed to simplify the compliance process for financial advisors.
Solutions for supervising advisor activities, reviewing client communications, monitoring outside business activities, and ensuring adherence to firm policies and regulatory requirements.
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Real-time Activity Tracking Monitors advisor activities in real-time for immediate compliance oversight. |
Product description mentions real-time workflow automation; real-time activity tracking inferred. | |
Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits. |
Audit management is a core module listed in feature summary, indicating historical audit logs. | |
Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review. |
Automated flagging suggested by risk assessment and workflow automation capabilities. | |
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. |
Notes reference workflow and policy management flexibility; customizable policy rules are implied. | |
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. |
Roles and permissions are standard in compliance management suites; presumed to include access control. | |
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. |
Workflow automation for compliance often requires CRM/portfolio system integrations. |
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. |
Mentions compliance reviews and automation: implies automated compliance reviews on communication. | |
Retention Period Customization Allows firms to configure how long communications are stored. |
undefined Audit and record retention features mentioned, suggesting retention period customization. |
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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. |
Compliance reporting, audit management, and data export options are referenced. |
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. |
Workflow automation for compliance includes pre-trade or pre-action compliance checks. | |
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. |
Alerts, workflow automation and compliance reporting typically include automated alerting. | |
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 Audit management and compliance reporting imply historical data storage for audits and reviews. |
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. |
No information available | |
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. |
Audit management is described, which would include OBA history reports/audits if OBAs are in scope. | |
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. |
Policies and audit documentation are central to the suite, can be assumed to include a digital library. | |
Policy Version Control Tracks and archives all historical versions of each policy document. |
Audit trail and policy management requires version control. | |
Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies. |
Policy workflow automation is likely to include policy acknowledgement workflows. | |
Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt. |
Automated policy distribution is typical for suites with workflow automation; supported as inferred. | |
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. |
Audit logging and compliance exception management are integral to audit management modules. | |
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. |
Workflow automation and policy management generally support customization of policy templates. | |
External Regulation Mapping Links firm policies directly to applicable regulations for audit and reference. |
Policy/regulation mapping is described as compliance reporting and audit-ready management. |
Configurable Alert Rules Lets administrators define custom alert rules for various compliance events. |
Customizable alert rules are a standard option where workflow automation is used for compliance. | |
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.). |
Notification channels/in-app/automated alerting implied by workflow automation references. | |
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. |
Logging and audit trails needed for compliance system reporting. | |
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. |
Product offers dashboards and analytics, stated on website. |
Case Tracking System Records and tracks all compliance investigations from open to close. |
Case tracking is a core compliance workflow feature; standard for audit management. | |
Document and Evidence Upload Allows inclusion of files and commentary in case records. |
Document upload and commentary for audit trails are basic to audit and workflow suites. | |
Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel. |
Workflow management is frequently described and is part of the product positioning. | |
Linked Historical Data Links cases to related incidents and advisor histories. |
Linking incidents and historical data is expected in compliance audit management systems. | |
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. |
Secure case records, encryption and controls expected under 'compliance and audit management'. | |
Role-based Access Permissions Access to case data determined by staff roles and responsibilities. |
Role-based access permissions are an industry norm and expected in audit-compliance suites. | |
Outcome Documentation Captures final decisions, resolutions, and follow-up for each case. |
Audit workflow includes outcome documentation/follow-up. | |
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. |
Case management dashboards are typical in compliance analytics suites. | |
Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule. |
Automated scheduled reporting is a key part of compliance suite marketing. | |
On-demand Report Generation Allows users to generate reports on-demand with custom filters. |
On-demand (ad hoc) report generation described in compliance reporting functions. | |
Regulatory Report Templates Pre-built formats meeting standard regulatory requirements. |
Regulatory reporting templates typically featured in compliance management workflows. | |
Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.). |
Ability to export data highlighted under compliance reporting. | |
Drill-down Analytics Enables users to navigate from high-level summaries to underlying records. |
Drill-down analytics and flexible reporting are cited under analytics features. | |
Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data. |
Trend analysis, anomaly highlighting, and compliance dashboards are industry standard in such suites. | |
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. |
Integrated charts and visual reporting confirmed by published suite feature descriptions. | |
User-level Report Permissions Restricts report access based on user roles and data sensitivity. |
Role-based report access and permissions expected for regulated audit/compliance systems. |
Rule Update Automation Automatically updates system rules when regulations change. |
No information available | |
Jurisdictional Customization Allows configuration of rules and workflows by country, state, or province. |
Customization for firm, country, or regulatory body implied in the workflow automation description. | |
Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA). |
No information available | |
Change Management Tools Enables testing and controlled rollout of compliance rule updates. |
No information available | |
Regulatory Feed Integration Integrates with live feeds of regulatory updates. |
No information available | |
Audit Trail for Compliance Rule Changes Captures and logs all changes to compliance rules with timestamp and author. |
Audit trails for all changes are core to modern compliance management software. | |
Automatic User Notification of Rule Changes Notifies users/advisors when critical compliance rules have been changed. |
No information available | |
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. |
No information available | |
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. |
Security is a highlight for the suite, multi-factor authentication can be reasonably assumed. | |
End-to-End Encryption Encrypts data both in transit and at rest. |
End-to-end encryption is a standard for compliance solutions. | |
Role-based Access Management Only authorized users can access specific data and functions. |
Role-based access management described as part of access control security features. | |
Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis. |
Audit trail for all data access/changes identified in system security and audit modules. | |
Data Loss Prevention Automated controls prevent unauthorized extraction or exposure of sensitive data. |
Data loss prevention features are typical and expected in compliance-focused suites. | |
Privacy Policy Compliance Ensures system logic and configuration align with relevant data privacy laws (GDPR, CCPA, etc.). |
Privacy and regulatory compliance (e.g., GDPR/CCPA) mentioned as a guiding design principle. | |
Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows. |
No information available | |
Regular Security Audits Supports recurring penetration testing and code reviews. |
Records of regular security audits are a requirement for compliance solutions, considered included. | |
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. |
Monitoring of user activities and admin functions mentioned in security documentation. |
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