Module benefits:

  • Accelerate account opening and back office compliance account reviews
  • Personalize digital content (previously paper-based)
  • Information obtained can be effectively utilized for cross selling products and services in real time
  • Identify and resolve issues with the comprehensive reporting and dashboard functionality
  • Test the application settings in a staging area before deploying to production
  • Allows organizations to understand their clients’ relationship and organization beyond the traditional systems capabilities
  • Integrates with existing core systems independent of their limitations
  • Complies with record retention requirements, making historical records easily accessible

Our Trade Surveillance Module tracks transactions across trading, fraud, anti-money laundering, and business management risk units to streamline investigations. This is accomplished by leveraging sophisticated analytics to ensure investment suitability using both rules and statistical based methodologies. Alerts can be easily created, managed, prioritized and documented. The comprehensive reporting and dashboard functionality allows managers to quickly assess the overall effectiveness of brokerage compliance policies and procedures so proactive steps can be taken to quickly identify and resolve issues.

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