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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.
Other Compliance and Risk Management

ComplySci Platform
By: ComplySci
https://www.complysci.com/platform/
Employee compliance management, personal trading monitoring, gifts and entertainment tracking, outside business activities tracking, compliance calendars, and code of ethics management for financial advisors.

Riskalyze Platform
By: Riskalyze
https://www.riskalyze.com/platform
Automated risk assessments, portfolio analysis, regulatory compliance tools, and client engagement features, enabling advisors to code risk and facilitate better investment conversations.

Compliance.ai Platform
By: Compliance.ai
https://www.compliance.ai/platform
Automated tracking of regulatory changes, rule mapping, risk assessment tools, and a centralized hub for compliance documentation.

SmartCompliance Management Suite
By: SmartCompliance
https://www.smartcompliance.com/management-suite
Risk assessment, audit management, compliance reporting, and workflow automation designed to simplify the compliance process for financial advisors.

Orion Compliance
By: Advizr (Orion)
https://www.orionadvisortech.com/compliance/
Automated compliance monitoring, customizable workflows, client reporting tools, and risk assessment capabilities designed specifically for financial advisory firms.

Compliance Management Platform
By: ComplianceBuilder
https://www.compliancebuilder.com/products
An all-in-one compliance solution that provides document management, regulatory tracking, risk assessments, and reporting functionalities tailored for financial advisory professionals.

Advyzon Compliance Suite
By: Advyzon
https://www.advyzon.com/products/compliance/
Features include automated compliance checks, client documentation management, alerts for policy changes, and customizable compliance workflows.

Surveillance & Suitability
By: NICE Actimize
https://www.niceactimize.com/Surveillance
Provides comprehensive advisor activity monitoring, trade and sales practice surveillance, suitability, and conduct risk systems. Includes advanced analytics, case management, and automated alerts to help detect and mitigate advisor misconduct and regulatory breaches.

NexJ Advisor Compliance Manager
By: NexJ Systems
https://www.nexj.com/products/compliance-manager/
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.

FIS Surveillance & Supervision
By: FIS Global
https://www.fisglobal.com/en/solutions/risk-compliance-surveillance
Detects potential advisor misconduct and breaches using automation and advanced analytics across transactions, communications, and account activities. Delivers customizable rule sets, exception reporting, and full audit trails.

Theta Lake Communication Compliance Suite
By: Theta Lake
https://thetalake.com/solution/
Automates the review of digital communications for regulatory, conduct, and suitability risks. Uses AI to detect problematic language and risky behavior across chat, collaboration, and video platforms. Provides workflow automation and audit reporting.

Smarts Surveillance
By: Solovis (part of Nasdaq)
https://www.nasdaq.com/solutions/smarts
Focuses on detecting inappropriate sales practices, market abuse, and policy violations through real-time surveillance, configurable alerts, analytics, and detailed reporting capabilities tailored for financial advisory.

Global Relay Supervision
By: Global Relay
https://www.globalrelay.com/products/supervision-and-monitoring/
Enables compliance teams to monitor, review, and manage electronic communications for conduct, suitability, and regulatory risks. Facilitates automated workflows, policy application, and audit-ready reporting.

Hearsay Compliance
By: Hearsay Systems
https://hearsaysystems.com/platform/compliance/
AI-powered supervision technology that automatically scans communications across social media, website, email, and text messaging for compliance risks. Features include pre-review of content, automated approval workflows, comprehensive archiving, and real-time alerts for compliance violations.

Supervision
By: Smarsh
https://www.smarsh.com/products/supervision/
AI-powered communication supervision platform that enables financial firms to monitor and review advisor communications for regulatory compliance. Features include policy management, intelligent sampling, supervision workflows, contextual surveillance, and comprehensive reporting.

Signal
By: Compliance Solutions Strategies (CSS)
https://www.cssregtech.com/products/signal/
Comprehensive compliance monitoring and supervision system that enables financial firms to monitor advisor activities and detect potential compliance issues. Features include risk-based surveillance, customizable workflows, integrated case management, and detailed audit trails.

Redtail Compliance
By: Redtail Technology
https://corporate.redtailtechnology.com/products-and-services/compliance/
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.

AdCompliance
By: Foreside
https://www.foreside.com/solutions/adcompliance/
Comprehensive compliance review and supervision platform for marketing and advertising materials. Features include customizable review workflows, automated compliance checks, version control, and detailed audit trails.

STAR Platform
By: StarCompliance
https://www.starcompliance.com/star-platform/
Integrated compliance management platform with modules for personal trading, outside business activities, gifts and entertainment, and advisor supervision. Features include automated monitoring, conflict detection, case management, and comprehensive reporting.

Audit Management
By: RegEd
https://www.reged.com/solutions/audit-management/
Comprehensive advisor supervision platform that enables firms to automate branch audits, compliance reviews, and risk assessments. Features include configurable audit workflows, risk-based scheduling, automated deficiency management, and comprehensive reporting and analytics.