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Compliance Management Platform from ComplianceBuilder

An all-in-one compliance solution that provides document management, regulatory tracking, risk assessments, and reporting functionalities tailored for financial advisory professionals.

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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
(7 Yes /7 Known /10 Possible features)

Client Communication Supervision
(4 Yes /6 Known /10 Possible features)

Trade and Transaction Supervision
(5 Yes /5 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring
(6 Yes /6 Known /10 Possible features)

Policy Management
(7 Yes /7 Known /10 Possible features)

Surveillance & Alerting
(5 Yes /5 Known /10 Possible features)

Case Management & Investigation Tools
(4 Yes /4 Known /10 Possible features)

Reporting & Analytics
(9 Yes /9 Known /10 Possible features)

Regulatory Compliance Adaptability
(5 Yes /5 Known /10 Possible features)

System Security & Privacy Controls
(6 Yes /6 Known /10 Possible features)

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Real-time Activity Tracking Monitors advisor activities in real-time for immediate compliance oversight.		Product advertises real-time compliance monitoring and oversight capabilities in its core features.
Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits.		Platform offers document management and audit log retention, which implies storage of advisor actions and records.
Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review.		Automated regulatory tracking and flagging is explicitly mentioned in the product details.
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.		Customizable compliance policies and rules are promoted for firm or regulatory requirements.
Behavioral Analytics Uses analytics to detect unusual patterns in advisor behavior.		Behavioral analytics is described as part of risk assessment modules.
User Access Control Restricts access to sensitive actions and data based on user roles.		User access is controlled via role-based permissions in platform configuration.
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.		Claims integrations with CRM and portfolio systems for holistic advisor monitoring.

Email Monitoring Captures and supervises advisor email correspondences with clients.		Product covers email supervision under client communications compliance.
Text and Instant Messaging Supervision Monitors text and instant messaging platforms used by advisors.		Not as far as we are aware.* No explicit mention of text/instant messaging supervision.
Voice Call Recording Records and archives advisor phone conversations.		No information available
Social Media Surveillance Monitors advisor communications on social media platforms.		Not as far as we are aware.* No reference to social media surveillance found in product documentation.
Keyword and Lexicon Detection Searches communications for pre-defined keywords or suspicious language.		Keyword/lexicon monitoring is implied under communications compliance reviews.
Automated Compliance Reviews Automatically reviews communications for potential policy breaches.		Platform promotes automated compliance review of advisor-client 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.		Export and reporting functions are core elements in the platform.

Real-time Trade Surveillance Continuously monitors portfolio transactions as they occur.		Product advertises real-time portfolio and trade surveillance capabilities.
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.		Assertions of pre-trade compliance checking for suitability and restrictions.
Post-Trade Exception Reporting Flags transactions that deviate from norms for further review.		Automated exception reporting function described in monitoring feature set.
Automated Alerting Sends alerts to supervisors for suspicious transactions.		Automated alerts to supervisors are listed under trade compliance and reporting.
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 Document management feature promises long-term storage of transactional and compliance records.

Centralized Disclosure Forms Enables electronic submission and tracking of OBA disclosures.		Product supports electronic submission and tracking for OBA disclosures.
Automated Approval Workflows Routes disclosures for review and electronic approval.		Automated workflow routing and approval for OBA/other disclosures is explicitly called out.
Conflict of Interest Checks Analyzes OBAs for potential conflicts with client interests.		Risk/conflict checks said to be part of automated OBA review process.
Change Notifications Alerts supervisors when OBAs are disclosed, updated, or not renewed by deadline.		Automated notifications and reminders for OBA changes and deadlines are mentioned.
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.		Automated renewal prompts claimed for expiring or annual OBA requirements.
OBA History Reports Generates reports of all disclosed OBAs for audit purposes.		Historical and point-in-time reports for OBAs listed as audit function.
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.		All policies can be centrally stored in a digital library by design.
Policy Version Control Tracks and archives all historical versions of each policy document.		Version control of policies is described under document management details.
Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies.		Platform workflow includes policy acknowledgement and record keeping.
Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt.		Automated distribution and tracking of new or revised policies supported.
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.		Logging of policy exceptions and special approvals is a documented workflow.
Automated Policy Expiry Alerts Notifies administrators when policies need updates or are about to expire.		Policy expiration alerts and review notices are standard notification features.
Customization of Policy Templates Allows for firm-specific customization of compliance policy templates.		Policy templates and customization modules are highlighted.
External Regulation Mapping Links firm policies directly to applicable regulations for audit and reference.		No information available

Configurable Alert Rules Lets administrators define custom alert rules for various compliance events.		Custom rules for alerts described in surveillance module.
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.		Alert escalation customization and routing described in compliance workflows.
Notification Channels Supports multiple alert delivery methods (email, SMS, in-app, etc.).		Supports email, in-app, and customizable notification channels.
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.		Vendor claims full alert and audit tracking for regulatory review purposes.
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.		Supervisor dashboards visualizing compliance alerts are shown in demo videos/screenshots.

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.		Case and file attachment functionality is mentioned for investigations.
Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel.		Task assignment and workflow management described for case follow-up and completion.
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.		Data encryption and secure record keeping are stated security design criteria.
Role-based Access Permissions Access to case data determined by staff roles and responsibilities.		Role-based access for case and compliance data is built-in to admin controls.
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.		Customizable dashboards for management are shown in product marketing and demos.
Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule.		Scheduled, automated report generation is advertised as standard.
On-demand Report Generation Allows users to generate reports on-demand with custom filters.		User-triggered report generation with filters is included.
Regulatory Report Templates Pre-built formats meeting standard regulatory requirements.		Templates for standard regulatory reporting are part of reporting suite.
Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.).		Data export to Excel, CSV, and PDF confirmed.
Drill-down Analytics Enables users to navigate from high-level summaries to underlying records.		Drill-down and interactive analytics noted as user features.
Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data.		Trend analysis and anomaly detection detailed under advanced analytics.
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.		Charts, graphs, data visualization, and pivot tables available.
User-level Report Permissions Restricts report access based on user roles and data sensitivity.		User permissions restrict access to sensitive reporting, as per documentation.

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.		Regulatory rules, workflows, and compliance languages can be customized per jurisdiction.
Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA).		Support for U.S. (SEC, FINRA) and international rules appears in product sheet.
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 trail for all policy/rule changes is part of platform's logging.
Automatic User Notification of Rule Changes Notifies users/advisors when critical compliance rules have been changed.		Advisors are notified electronically when rules and policies are changed, per workflow description.
Policy Localization Support Enables effective communication of rules/policies across multiple languages.		Multi-language support for regulatory communications is noted as localization feature.
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.		Multi-factor authentication listed as default security control.
End-to-End Encryption Encrypts data both in transit and at rest.		End-to-end encryption (in transit and at rest) specified in security features.
Role-based Access Management Only authorized users can access specific data and functions.		Role-based access management is a foundational security module.
Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis.		Comprehensive audit trail for access and changes highlighted in system documentation.
Data Loss Prevention Automated controls prevent unauthorized extraction or exposure of sensitive data.		Data loss prevention is part of suite of automated data protections.
Privacy Policy Compliance Ensures system logic and configuration align with relevant data privacy laws (GDPR, CCPA, etc.).		Product states GDPR and CCPA privacy compliance capabilities.
Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows.		No information available
Regular Security Audits Supports recurring penetration testing and code reviews.		No information available
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 Management Platform from ComplianceBuilder

Product analysis by function

Advisor Supervision Systems for Compliance and Risk Management

Advisor Activity Monitoring (7 Yes /7 Known /10 Possible features)

Client Communication Supervision (4 Yes /6 Known /10 Possible features)

Trade and Transaction Supervision (5 Yes /5 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring (6 Yes /6 Known /10 Possible features)

Policy Management (7 Yes /7 Known /10 Possible features)

Surveillance & Alerting (5 Yes /5 Known /10 Possible features)

Case Management & Investigation Tools (4 Yes /4 Known /10 Possible features)

Reporting & Analytics (9 Yes /9 Known /10 Possible features)

Regulatory Compliance Adaptability (5 Yes /5 Known /10 Possible features)

System Security & Privacy Controls (6 Yes /6 Known /10 Possible features)