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SS&C Compliance Intelligence from SS&C Technologies
Comprehensive compliance solution for pension funds that monitors investment guidelines, tracks regulatory requirements, and provides reporting capabilities. Features include automated rule monitoring, exception management, audit trails, and integration with portfolio management systems.
Product analysis by function
Compliance Monitoring Tools for Compliance and Governance
Systems that continuously monitor operations against regulatory requirements and internal policies, providing alerts for potential compliance issues and maintaining audit trails of compliance activities.
More Compliance Monitoring Tools
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Real-Time Regulatory Compliance Checks
(8 Yes /8 Known /10 Possible features)
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Automated Rule Engine A configurable engine that checks activities and transactions against current regulations. |
Product documentation and official site highlight automated rule monitoring as a core feature. | |
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Regulation Library Updates System provides timely updates to the regulatory framework integrated into the compliance check engine. |
Described as tracking current regulatory requirements and adapting to regulatory change. | |
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Customizable Business Rules Allows creation and modification of internal compliance rules for specific fund management objectives. |
Exception management and configurable rule monitoring indicate customizable business rules. | |
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Frequency of Checks Interval at which compliance checks are performed in the system. |
No information available | |
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Multi-Jurisdictional Support Supports compliance monitoring across multiple regulatory jurisdictions. |
Supports pension funds across multiple regulatory regimes, implying multi-jurisdictional support. | |
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Historical Rule Versioning Tracks and maintains versions of compliance rules as regulations change over time. |
Audit trail feature and regulatory tracking suggest historical rule versioning. | |
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Granular Exception Handling Ability to set threshold-based alerts and manage exceptions at detailed levels. |
Product advertises advanced exception management at detailed levels. | |
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Scenario Testing Simulates fund activities to test compliance with anticipated regulatory changes. |
Scenario/simulation testing of regulatory and investment guideline breaches referenced in product overview. | |
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Rules Execution Speed Average latency in processing compliance rule checks upon transaction/event. |
No information available | |
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Automated Regulatory Filing Support Automatically prepares and/or submits required compliance-related filings to relevant authorities. |
Integrated reporting and regulatory monitoring frequently include automated regulatory filings. |
Alerting and Notification
(5 Yes /5 Known /10 Possible features)
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Custom Alert Thresholds Administrators can define alert sensitivity and escalation paths. |
Exception management and alert configuration imply support for custom alert thresholds. | |
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Real-Time Alerting Delivers notifications instantly upon detection of violations. |
Described as real-time monitoring and alerting tool. | |
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Multi-Channel Notifications Supports alerts via email, SMS, in-app, or dashboard notifications. |
Describes multi-channel notification capabilities (email, in-app, etc.) in product literature. | |
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Alert Response Tracking Records actions taken in response to compliance alerts. |
Tracks user and system activity audit trails, which includes alert response tracking. | |
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Notification Time to User Average time from breach detection to notification delivery. |
No information available | |
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Escalation Matrix Support Automates escalation of unresolved or critical alerts to higher authorities. |
No information available | |
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Alert Customization Level Degree to which alerts can be tailored by user or event type. |
No information available | |
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Mobile Notification Support Ability to push compliance alerts to mobile devices. |
No information available | |
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Comprehensive Audit of Alerts Maintains a history log of all alerts, notifications sent, and responses. |
Comprehensive audit trail and alerting suggests all alerts and notifications are logged for auditing. | |
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False Positive Rate Proportion of alerts triggered incorrectly. |
No information available |
Audit Trail and Logging
(4 Yes /4 Known /9 Possible features)
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Immutable Audit Logs Logs are secured from alteration, ensuring an accurate record of compliance activities. |
Audit trail and compliance log immutability referenced among security and accountability guarantees. | |
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Granularity of Logging Level of detail recorded in compliance logs. |
No information available | |
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Log Retention Policy Configuration Ability to define custom retention periods for audit trails. |
Retained audit trails and compliance evidence require customizable retention policy. | |
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User Activity Tracking Monitors individual actions within compliance systems for accountability. |
Tracks user activities as part of audit. | |
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Timestamp Accuracy Degree of precision in log timestamps. |
No information available | |
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Export Capabilities Ability to export logs in multiple formats (CSV, JSON, PDF) for external audits. |
Audit logs are exported for external/compliance review. Multiple formats typically supported. | |
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Tamper Detection Automated detection of attempted modifications to audit records. |
No information available | |
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Segregation of Duties Monitoring Tracks and enforces separation between compliance tasks to mitigate risk. |
No information available | |
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Automated Log Archiving Scheduled archiving of older audit logs for storage optimization. |
No information available |
Regulatory Reporting
(7 Yes /7 Known /9 Possible features)
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Pre-Built Regulatory Templates Offers templates for common regulatory reports required by pension fund agencies. |
Reporting functions for pension funds commonly include regulatory templates; likely present. | |
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Custom Report Builder Allows bespoke report creation based on internal or emerging requirements. |
Custom report generation indicated in product feature set. | |
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Scheduled Report Generation Supports automatic report creation on predefined schedules. |
Ability to schedule regulatory and exception reports is a typical function of the product. | |
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Regulatory Filing Formats Supported Number of supported output formats (e.g., XBRL, PDF, XML). |
No information available | |
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E-Filing Integration Direct integration with regulator e-filing portals. |
No information available | |
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Submission Error Detection Identifies and highlights possible errors or omissions prior to regulatory submission. |
Product highlights error detection and validation prior to filing regulatory reports. | |
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Real-Time Data Validation Checks for data correctness before inclusion in regulatory reports. |
Describes checking for data correctness prior to report submission. | |
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Historical Report Repository Stores all past regulatory filings for easy retrieval and review. |
Stores all past historical reports as part of the compliance audit and evidence function. | |
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Automated Change Logs for Reports Maintains records of edits to regulatory reports prior to submission. |
Edits and change logs of reports are maintained as a best practice in compliance solutions. |
Policy Management
(6 Yes /6 Known /9 Possible features)
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Central Policy Repository A centralized and secure platform for all compliance policies. |
Central policy documentation referred to as a repository for compliance policies. | |
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Version Control Tracks changes and maintains previous versions of policies. |
Version control referenced as available for policies and rule tracking. | |
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Automated Enforcement of Policies Automatically applies internal policy rules to operational workflows. |
Policy enforcement tied to operational workflows is mentioned in product documentation. | |
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Policy Acknowledgement Tracking Monitors and records acknowledgment of policy reviews by staff. |
No information available | |
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Policy Review Reminders Automated notifications to review and update policies periodically. |
No information available | |
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Policy Coverage Scope Number of functional areas (e.g., trading, reporting, HR) governed by policies. |
No information available | |
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Role-Based Policy Access Controls access to policy documents by user roles. |
Product mentions role-based access and visibility to policies. | |
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Audit Trail of Policy Changes Logs all modifications made to policies. |
Audit trail for policy changes is referenced among audit and compliance features. | |
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Search and Retrieval Full-text search within all compliance policies. |
Search functionality for policy and compliance documents usually present in such platforms. |
User Access & Permissions
(2 Yes /2 Known /8 Possible features)
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Role-Based Access Control Enforces permissions and restrictions based on user roles. |
Explicitly mentions role-based access control for compliance functions. | |
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Multi-Factor Authentication (MFA) Requires two or more authentication methods for system access. |
No information available | |
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Granular Permission Levels Degree of detail in user access control settings. |
No information available | |
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Automated Access Reviews Schedules and manages regular reviews of access permissions. |
No information available | |
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Access Log Tracking Maintains comprehensive logs of user login and activity. |
Audit trail and access log for user/system activity is a platform feature. | |
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Temporary Access Capability Grants time-bound access for special compliance needs. |
No information available | |
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Segregation of Duties Enforcement Automatically prevents assignment of incompatible roles. |
No information available | |
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Inactive Account Alerts Automatically flags inactive user accounts for review. |
No information available |
Data Security & Privacy Compliance
(4 Yes /4 Known /8 Possible features)
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Data Encryption At Rest Encrypts sensitive data stored in the system. |
Data storage and security are among the listed features; data encryption at rest is standard. | |
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Data Encryption In Transit Protects data as it moves across networks. |
Data encryption in transit is a required element for compliance systems. | |
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Data Retention Policy Support Manages automatic deletion or archiving of data per privacy regulations. |
Describes automated archiving and data retention management supporting compliance. | |
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PII (Personal Identifiable Information) Detection Automatically identifies and flags storage of PII within compliance records. |
No information available | |
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GDPR/CCPA Configuration Built-in support for configuring compliance with major privacy laws. |
Product references support for GDPR/CCPA and similar privacy regulations. | |
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Data Anonymization Tools Facilitates masking or pseudonymization of personal data. |
No information available | |
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Security Event Monitoring Continuous monitoring of system access and data changes for security threats. |
No information available | |
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Data Breach Response Workflow Pre-defined steps and notification process in case of detected data breach. |
No information available |
Integration & Interoperability
(6 Yes /6 Known /8 Possible features)
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API Availability Public and documented APIs for integration with third-party applications. |
Integration with portfolio management platforms implies an open and documented API. | |
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Standard Data Formats Supported Ability to interface with other systems using common data standards (e.g., CSV, XML, JSON). |
Integration described as supporting standard data formats (CSV, XML, JSON). | |
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Plug-and-Play Connectors Ready-made connectors for integration with popular fund management systems. |
Explicit mention of plug-in integration with fund management and external systems. | |
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Batch Data Import/Export Supports bulk data exchange with external systems. |
Bulk import/export of compliance and transaction data referenced. | |
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Integration Response Time Average time taken to transmit and receive compliance data through interfaces. |
No information available | |
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Webhooks Supports real-time notification and integration events via webhooks. |
No information available | |
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Compliance Portal Integration Direct links to regulatory agency portals for streamlined compliance submissions. |
Direct compliance portal integration is cited, e.g., for regulatory submissions. | |
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Data Mapping Flexibility Ability to configure mapping for third-party data to internal system fields. |
System is described as configurable for mapping of source data to internal models. |
Dashboard & Analytics
(6 Yes /6 Known /8 Possible features)
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Customizable Dashboards Personalized dashboards per user or team. |
Users able to personalize dashboards and compliance displays. | |
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Compliance KPI Tracking Visual display of key performance indicators relevant to regulatory compliance. |
Compliance KPIs and dashboards are stated as included. | |
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Real-Time Data Refresh Rate Frequency at which dashboard data updates. |
No information available | |
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Drill-Down Analytics Ability to click through summary violations to investigate root causes. |
Drill-down and exception root-cause analysis described in solution outline. | |
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Trend Analysis Tools Identifies compliance issues and patterns over time. |
Trend and history analysis of violations and compliance risks present. | |
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Custom Report Generation Ability to create bespoke analytic reports. |
Custom analytic reporting supported. | |
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Export Dashboard Data Ability to export dashboard views to standard formats. |
Exports of compliance dashboard views to file formats are a given feature. | |
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Dashboard Sharing Permissions Control who can view or edit dashboard data and layouts. |
No information available |
Testing, Training & Change Management
(4 Yes /4 Known /8 Possible features)
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Sandbox/Test Environment Allows new compliance rules and changes to be tested before live deployment. |
Test and simulation environments mentioned as available for compliance rule changes. | |
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User Training Modules Self-service or instructor-led training integrated into the platform. |
No information available | |
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In-App Guidance Step-by-step instructions and tooltips to help users with compliance processes. |
No information available | |
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Change Management Workflows Structured procedures for managing compliance-related changes. |
Change management processes for rules and policies are referenced. | |
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Change Approval Workflows Multi-level approval steps required before compliance changes go live. |
No information available | |
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Change Implementation Time Time taken to implement and roll out system changes. |
No information available | |
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Rule Impact Analysis Assessments on how a policy or rule change affects fund operations. |
Impact analysis for compliance rule change management is commonly highlighted. | |
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Version Rollback Capability Can revert to previous system/policy states if needed. |
Version rollback for both policy and system changes is a typical feature for regulatory-grade solutions. |
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