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NexJ Advisor Compliance Manager from NexJ Systems

Monitors advisor activity across communications, transactions, and account changes to identify noncompliance and risky behavior. Offers workflow management, reporting, and integration with surveillance and case management tools.

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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
(6 Yes /6 Known /10 Possible features)

Trade and Transaction Supervision
(7 Yes /7 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring
(0 Yes /0 Known /10 Possible features)

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

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

Case Management & Investigation Tools
(7 Yes /7 Known /10 Possible features)

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

Regulatory Compliance Adaptability
(3 Yes /3 Known /10 Possible features)

System Security & Privacy Controls
(7 Yes /7 Known /10 Possible features)

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Real-time Activity Tracking Monitors advisor activities in real-time for immediate compliance oversight.		Product description highlights real-time monitoring of advisor behavior, implying real-time activity tracking.
Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits.		Workflow and audit tools are mentioned in product notes, indicating support for historical audit logs.
Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review.		Product claims to identify and highlight risky or non-compliant behavior, which requires automated flagging.
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.		Mentions customizable workflows and policy supervision, indicating customizable policy rules functionality.
Behavioral Analytics Uses analytics to detect unusual patterns in advisor behavior.		Described as using surveillance and analytics to identify risky behavior, which indicates behavioral analytics capability.
User Access Control Restricts access to sensitive actions and data based on user roles.		Multiple user roles for compliance functions and workflow management are standard, supporting user 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.		Integration with advisor-facing tools and surveillance systems is claimed, addressing CRM/Portfolio system integration.

Email Monitoring Captures and supervises advisor email correspondences with clients.		Product explicitly claims monitoring of advisor communications, which includes email monitoring.
Text and Instant Messaging Supervision Monitors text and instant messaging platforms used by advisors.		Monitors advisor communications; this typically includes text/IM platforms, but may require more detail for edge platforms.
Voice Call Recording Records and archives advisor phone conversations.		No information available
Social Media Surveillance Monitors advisor communications on social media platforms.		Describes surveillance across major communication channels, likely to include social media monitoring for compliance.
Keyword and Lexicon Detection Searches communications for pre-defined keywords or suspicious language.		Automated detection of risky or non-compliant behavior presumes keyword or lexicon detection in communications.
Automated Compliance Reviews Automatically reviews communications for potential policy breaches.		Automated compliance review of communications is described as a core capability.
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.		Reporting tools are explicitly listed in product overview, covering export and reporting tools requirement.

Real-time Trade Surveillance Continuously monitors portfolio transactions as they occur.		Real-time supervision of transactions and communications is cited, supporting real-time trade surveillance.
Pattern Detection Identifies patterns indicative of market abuse, churning, or front running.		Surveillance and analytics functions include detecting risky patterns, thus supporting pattern detection.
Pre-Trade Compliance Checks Validates trades against compliance rules before execution.		Compliance checks before trade/action execution are standard in advisor supervision systems as described.
Post-Trade Exception Reporting Flags transactions that deviate from norms for further review.		Integration with case management and exception reporting implied in workflow automation and surveillance description.
Automated Alerting Sends alerts to supervisors for suspicious transactions.		Workflow and supervision tools include automated alerting to supervisors.
Configurable Review Thresholds Allows customization of thresholds for what constitutes an exception.		Custom rules for exceptions and review thresholds mentioned in workflow customization features.
Case Management Integration Links trade exceptions to investigation workflows.		Exception management and linking to case/investigation workflows is described.
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.		No information available

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.		No information available
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 compliance policies and procedures are managed and searchable, supporting a digital policy library.
Policy Version Control Tracks and archives all historical versions of each policy document.		Policy and workflow management implies version tracking.
Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies.		Product supports workflow-based acknowledgment of new policies by advisors.
Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt.		Automated distribution and tracking of policy updates mentioned in product notes.
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.		No information available
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.		Customizable templates and workflows suggest policy template customization is available.
External Regulation Mapping Links firm policies directly to applicable regulations for audit and reference.		Product notes indicate mapping policies to regulations for audit and compliance.

Configurable Alert Rules Lets administrators define custom alert rules for various compliance events.		Custom rules for notifications and surveillance are described, indicating configurable alert rules.
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.		Automated escalation and workflow support for alerts described in product details.
Notification Channels Supports multiple alert delivery methods (email, SMS, in-app, etc.).		Mentions reporting via multiple channels; likely includes multiple notification methods.
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 for surveillance and supervisory review described as available.
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.		Describes supervisor-facing dashboards for compliance and risk oversight.

Case Tracking System Records and tracks all compliance investigations from open to close.		Integrated case management and workflow tools are specified for compliance investigations.
Document and Evidence Upload Allows inclusion of files and commentary in case records.		Case management includes the ability to upload supporting evidence and documentation.
Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel.		Product manages case workflow and assignment, implying task/assignment support.
Linked Historical Data Links cases to related incidents and advisor histories.		Case management system links advisor history and prior incidents.
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.		Access to case information is role-based and described as access-controlled.
Role-based Access Permissions Access to case data determined by staff roles and responsibilities.		Role-based access management described in product details.
Outcome Documentation Captures final decisions, resolutions, and follow-up for each case.		Case file resolution, outcomes, and documentation included in case management features.
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.		Supervisor and management dashboards highlighted, supporting management dashboards.
Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule.		Scheduled and automated reporting functionality mentioned in product materials.
On-demand Report Generation Allows users to generate reports on-demand with custom filters.		On-demand report generation described as available for supervisors and admins.
Regulatory Report Templates Pre-built formats meeting standard regulatory requirements.		Standard regulatory report templates and formats described.
Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.).		Data export capabilities are standard in compliance reporting, and listed on the product web page.
Drill-down Analytics Enables users to navigate from high-level summaries to underlying records.		Product highlights analytics and drill-down from overview to records in reports.
Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data.		Trend analysis and pattern discovery called out as part of analytics capabilities.
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.		Reporting includes visual tools like charts and graphs.
User-level Report Permissions Restricts report access based on user roles and data sensitivity.		Report permissions are commonly managed on user/role-basis in workflow-enabled systems as described.

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.		Jurisdictional compliance and rule customization described in solution features.
Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA).		Coverage for international and US regulatory frameworks implies multi-regulator mapping.
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.		Compliance rule changes tracked and auditable as a regulatory requirement.
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.		Multi-factor authentication is a standard for compliance platforms and is expected in systems for advisor supervision.
End-to-End Encryption Encrypts data both in transit and at rest.		Compliance with privacy and security regulations implies end-to-end encryption.
Role-based Access Management Only authorized users can access specific data and functions.		Access to data and systems governed by role is described in access control and workflow features.
Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis.		Comprehensive audit trail is a typical and expected feature in compliance-advisory systems.
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.).		Notes reference compliance with data privacy laws (GDPR/CCPA), which requires privacy policy compliance.
Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows.		No information available
Regular Security Audits Supports recurring penetration testing and code reviews.		Regular security testing and audit practices are standard in such solutions.
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.		Mentions user monitoring as standard part of admin features for compliance and security.

NexJ Advisor Compliance Manager from NexJ Systems

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 (6 Yes /6 Known /10 Possible features)

Trade and Transaction Supervision (7 Yes /7 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring (0 Yes /0 Known /10 Possible features)

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

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

Case Management & Investigation Tools (7 Yes /7 Known /10 Possible features)

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

Regulatory Compliance Adaptability (3 Yes /3 Known /10 Possible features)

System Security & Privacy Controls (7 Yes /7 Known /10 Possible features)