Integrated compliance solution that helps advisory firms manage and document their compliance obligations. Features include automated workflows for compliance reviews, document tracking and management, activity logging, and comprehensive reporting tools.
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. |
Redtail Compliance advertises real-time advisor monitoring and workflow capabilities for immediate compliance oversight. | |
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Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits. |
Product offers 'activity logging' and audit trail of advisor actions. | |
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Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review. |
Redtail describes automated, rules-driven workflow for compliance reviews and flagging activities for supervision. | |
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Session Recording Records user sessions for playback and detailed analysis. |
No information available | |
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Customizable Policy Rules Allows firms to set specific rules for advisor conduct based on firm or regulatory requirements. |
Customizable workflow rules are standard in Redtail's compliance solution. | |
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Behavioral Analytics Uses analytics to detect unusual patterns in advisor behavior. |
No information available | |
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User Access Control Restricts access to sensitive actions and data based on user roles. |
RBAC (Role Based Access Control) is indicated for limiting data access in compliance modules. | |
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Time-to-Detection Average time between non-compliant activity and system detection. |
No information available | |
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Number of Simultaneous Users Monitored Maximum number of advisors whose activities can be monitored at once. |
No information available | |
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Integrations with CRM/Portfolio Systems Connects to existing advisor-facing software for comprehensive monitoring. |
Integrates with Redtail CRM and can connect to portfolio/accounting platforms, supporting consolidated monitoring. |
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Email Monitoring Captures and supervises advisor email correspondences with clients. |
Redtail includes integrated email archiving and monitoring for client communications. | |
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Text and Instant Messaging Supervision Monitors text and instant messaging platforms used by advisors. |
Marketing materials reference supervision of advisor-messaging/chats where integrations allow. | |
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Voice Call Recording Records and archives advisor phone conversations. |
No information available | |
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Social Media Surveillance Monitors advisor communications on social media platforms. |
No information available | |
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Keyword and Lexicon Detection Searches communications for pre-defined keywords or suspicious language. |
Keyword and lexicon detection supported for automated communication supervision and policy breach detection. | |
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Automated Compliance Reviews Automatically reviews communications for potential policy breaches. |
Automated, rules-driven reviews for flagged communication content described in documentation. | |
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Retention Period Customization Allows firms to configure how long communications are stored. |
undefined Retention period customization is cited as a feature to meet regulatory needs for communication storage. |
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Redaction Capabilities Automatically redacts sensitive personal information in communications. |
No information available | |
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Threaded Conversation Tracking Maintains entire conversation threads for context in review. |
No information available | |
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Export and Reporting Tools Exports communication records and generates compliance reports. |
Redtail highlights powerful reporting and export functionality including generation of compliance-related reports. |
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Real-time Trade Surveillance Continuously monitors portfolio transactions as they occur. |
No information available | |
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Pattern Detection Identifies patterns indicative of market abuse, churning, or front running. |
No information available | |
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Pre-Trade Compliance Checks Validates trades against compliance rules before execution. |
No information available | |
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Post-Trade Exception Reporting Flags transactions that deviate from norms for further review. |
No information available | |
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Automated Alerting Sends alerts to supervisors for suspicious transactions. |
No information available | |
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Configurable Review Thresholds Allows customization of thresholds for what constitutes an exception. |
Review/alert thresholds and supervision review are configurable in Redtail workflows. | |
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Case Management Integration Links trade exceptions to investigation workflows. |
No information available | |
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Latency of Surveillance System Average time to detect and report an exception after trade execution. |
No information available | |
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Supported Asset Classes Number of different asset classes monitored by the system. |
No information available | |
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Historical Data Storage Duration transactional data is stored and retrievable. |
undefined Document tracking and management and ability to store compliance records for long durations is advertised. |
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Centralized Disclosure Forms Enables electronic submission and tracking of OBA disclosures. |
Centralized disclosure forms for outside activity monitoring are included. | |
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Automated Approval Workflows Routes disclosures for review and electronic approval. |
Automated approval workflows and routing for OBA disclosures are mentioned. | |
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Conflict of Interest Checks Analyzes OBAs for potential conflicts with client interests. |
OBA conflict checking and supervisor review cited in feature list. | |
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Change Notifications Alerts supervisors when OBAs are disclosed, updated, or not renewed by deadline. |
Automated alerts for disclosure changes (including OBA) are built-in. | |
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Integration with Regulatory Databases Matches advisor disclosures with regulatory blacklists and registries. |
No information available | |
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OBA Review Turnaround Time Average time required to review and approve a new OBA disclosure. |
No information available | |
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Renewal Reminders Automatically triggers renewal requests for expiring OBAs. |
Automated renewal reminders or follow-up on OBA renewals are included in workflow settings. | |
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OBA History Reports Generates reports of all disclosed OBAs for audit purposes. |
Reporting tools include audit and disclosure/OBA history reporting for compliance inspection. | |
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Supervisor Commenting Supervisors can log decisions and comments within the OBA workflow. |
No information available | |
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OBA Policy Enforcement Automatically blocks non-compliant activities pending review. |
Workflows allow for automated enforcement and blocking of non-compliant activity pending review. |
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Digital Policy Library Stores and organizes all active compliance policies in a central, searchable repository. |
Digital, centralized policy library forms part of the platform's documentation management. | |
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Policy Version Control Tracks and archives all historical versions of each policy document. |
Versioning and historical tracking of policy documents is supported in document workflow features. | |
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Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies. |
Advisor/employee acknowledgment workflows are included with the policy communication tools. | |
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Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt. |
Policy distribution is automated while tracking acknowledgment and receipt. | |
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Policy Effectiveness Reminders Alerts stakeholders to upcoming effectivity dates for new policies. |
No information available | |
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Quiz and Certification Modules Tests advisor comprehension of policies via embedded exams. |
No information available | |
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Policy Exception Logging Records and tracks approved exceptions to policies. |
No information available | |
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Automated Policy Expiry Alerts Notifies administrators when policies need updates or are about to expire. |
Alerts and reminders for expiring or outdated policies are supported. | |
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Customization of Policy Templates Allows for firm-specific customization of compliance policy templates. |
No information available | |
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External Regulation Mapping Links firm policies directly to applicable regulations for audit and reference. |
Firm-custom policy templates are supported via workflow/document management customization. |
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Configurable Alert Rules Lets administrators define custom alert rules for various compliance events. |
Custom alert rules for a variety of compliance flags/events are part of the automated workflow setup. | |
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Machine Learning Anomaly Detection Uses AI/ML to identify patterns predictive of emerging risk or compliance breaches. |
No information available | |
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Alert Prioritization Ranks alerts by severity so supervisors can triage efficiently. |
No information available | |
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False Positive Rate Percentage of alerts generated that are ultimately determined non-issues. |
. | No information available |
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Alert Escalation Paths Automates escalation to senior compliance personnel based on defined criteria. |
Alerts can be routed/escalated by supervisor/management workflow for critical compliance issues. | |
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Notification Channels Supports multiple alert delivery methods (email, SMS, in-app, etc.). |
Multiple channels for notifications/alerts (email, dashboard, and potentially SMS) are supported. | |
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Average Alert Response Time Median time between alert creation and first review by a supervisor. |
. | No information available |
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Audit Log of Alerts Maintains logs of alerts generated, actioned, and resolved for regulatory review. |
Activity, incident, and alert logs for compliance/regulatory review are part of Redtail Compliance's audit trail. | |
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Alert Suppression Rules Allows temporary or permanent suppression of specific lower-risk alerts. |
No information available | |
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Dashboards for Supervisors Interactive dashboards visualize current and historical alert status and risk exposure. |
Supervisor dashboards for live alert/status monitoring are showcased in product demos. |
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Case Tracking System Records and tracks all compliance investigations from open to close. |
Case management and resolution tools, including the ability to create, assign, and resolve investigations, are mentioned in compliance suite. | |
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Document and Evidence Upload Allows inclusion of files and commentary in case records. |
Upload and attach documents/evidence to compliance reviews or case records is listed as a document management feature. | |
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Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel. |
Workflow management and task assignment for compliance cases/tasks is available. | |
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Linked Historical Data Links cases to related incidents and advisor histories. |
No information available | |
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Automated Case Escalation Escalates unresolved cases to higher management if not closed in expected timeframe. |
Case escalation rules for unresolved compliance events can be set in workflows. | |
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Case Resolution Time Average time required to resolve a compliance investigation. |
. | No information available |
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Secure Case Records Ensures that all case data is encrypted and access-controlled. |
Compliance case and record data are described as encrypted and access-controlled. | |
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Role-based Access Permissions Access to case data determined by staff roles and responsibilities. |
Role-based access assignments, including to sensitive cases, are default security features. | |
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Outcome Documentation Captures final decisions, resolutions, and follow-up for each case. |
Documenting final outcome/resolution is intrinsic to case management workflow. | |
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Integration with External Whistleblower Hotlines Connects anonymous tip channels directly to case creation workflows. |
No information available |
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Customizable Management Dashboards Displays key compliance and risk metrics in real time. |
Interactive dashboards and customizable reporting/analytics are core to product offering. | |
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Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule. |
Automated, scheduled delivery of compliance and audit reports is documented on Redtail's feature list. | |
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On-demand Report Generation Allows users to generate reports on-demand with custom filters. |
On-demand report generation with advanced filters/search is cited in reporting & analytics. | |
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Regulatory Report Templates Pre-built formats meeting standard regulatory requirements. |
Regulatory reporting templates/formats included for standard compliance obligations. | |
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Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.). |
Exports to formats like CSV, PDF, and Excel enabled in the reporting suite. | |
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Drill-down Analytics Enables users to navigate from high-level summaries to underlying records. |
Drill-down analytics from summary to detailed compliance records is available. | |
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Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data. |
Automated trend detection and compliance/business intelligence analytics tools are referenced in materials. | |
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Number of Supported Report Types Total types of pre-built or custom report formats available. |
No information available | |
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Visualization Tools Integrated charts, graphs, and pivot tables for visual analysis. |
Charts, graphs, and data visualization features are core to Redtail's analytics dashboards. | |
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User-level Report Permissions Restricts report access based on user roles and data sensitivity. |
Report/data access is controlled by user permissions and role-based access control. |
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Rule Update Automation Automatically updates system rules when regulations change. |
No information available | |
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Jurisdictional Customization Allows configuration of rules and workflows by country, state, or province. |
Jurisdiction-based workflow configuration is possible; Redtail serves US and Canadian compliance regimes at a minimum. | |
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Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA). |
No information available | |
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Change Management Tools Enables testing and controlled rollout of compliance rule updates. |
No information available | |
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Regulatory Feed Integration Integrates with live feeds of regulatory updates. |
No information available | |
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Audit Trail for Compliance Rule Changes Captures and logs all changes to compliance rules with timestamp and author. |
Audit trails for compliance rule and document changes are part of the built-in logging features. | |
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Automatic User Notification of Rule Changes Notifies users/advisors when critical compliance rules have been changed. |
Rule/policy change notifications are included in supervisor and advisor workflows. | |
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Policy Localization Support Enables effective communication of rules/policies across multiple languages. |
No information available | |
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Impact Analysis Tools Estimates impact of regulatory changes on current business processes. |
No information available | |
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Number of Jurisdictions Supported Maximum number of unique jurisdictions supported in one environment. |
No information available |
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Multi-factor Authentication Requires more than one method of authentication to access the system. |
Multi-factor authentication is described as an available security control. | |
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End-to-End Encryption Encrypts data both in transit and at rest. |
End-to-end encryption (in transit and at rest) is stated in Redtail's data protection documentation. | |
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Role-based Access Management Only authorized users can access specific data and functions. |
Role-based access management is used for all major data elements in the product. | |
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Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis. |
Comprehensive audit trail and access/change logging is discussed in documentation. | |
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Data Loss Prevention Automated controls prevent unauthorized extraction or exposure of sensitive data. |
No information available | |
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Privacy Policy Compliance Ensures system logic and configuration align with relevant data privacy laws (GDPR, CCPA, etc.). |
Redtail aligns system workflows and data processing with US and global privacy laws; compliance references include GDPR and CCPA. | |
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Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows. |
No information available | |
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Regular Security Audits Supports recurring penetration testing and code reviews. |
Regular security and penetration audit references are listed as part of vendor's approach. | |
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Session Timeout Policy Defines max allowed inactive time before user is logged out. |
No information available | |
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User Activity Monitoring Monitors admin and user interactions for potential security threats. |
User activity monitoring for potential risk is incorporated in the Redtail Compliance system. |
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