The compliance officer of the future plays a pivotal role in how financial firms are built, grown, and run
That’s why we empower you with the technology and insights you need to transform your firm.
Make ComplianceEdge Your Edge
Transformative
With changing regulations and market dynamics, compliance is now driving the evolution of Broker Dealers and RIAs. We provide tools and services that empower CCOs to drive meaningful change.
Knowledgeable
Compliance Officers need to be able to act quickly and decisively to mitigate risk. With ComplianceEdge, you access unparalleled depth of data to make the best short and long term decisions for your firm.
Proactive
Post-trade reporting and alerts that need to be reconciled are a thing of the past. ComplianceEdge captures all investment data daily and uses a customized rules engine to deliver valuable insights across the front, middle and back office.
We Address Your Critical Business Needs
Our laser focus on Broker Dealers, RIAs and Bank Trust companies, coupled with a unique depth of mined security data and a highly customizable rules engine, enables us to have the leading product and services in the marketplace today.
Reduce False Positives & Minimize Noise
Challenge
Excessive alerts from trade supervision and account monitoring.
Solution
ComplianceEdge reduces false positives through a rich data model and configurable rules engine, resulting in less time spent researching non-issues.
Remove Regulatory & Reputational Risk
Challenge
The Regulatory landscape is evolving at speeds that make it difficult for firms to keep up.
Solution
ComplianceEdge's features are designed to provide flexibility and efficiency to map to regulatory requirements and prevent fines and reputational risks.
Increase Data Visibility
Challenge
Compliance professionals need insights into all investment recommendations across the firm to avoid fines.
Solution
ComplianceEdge's deep data model and expanding rules engine ensure there are no blind spots across the trading ecosystems.
Unify Accounts To Eliminate Costs
Challenge
Fiduciary, Advisory, and Brokerage accounts have different regulators and rules, requiring multiple compliance solutions.
Solution
ComplianceEdge allows Fiduciary, Advisory, and Brokerage accounts to be on the same compliance platform, reducing both hard and soft costs.
Our Features
Data Management
The depth of investment data and numerous interfaces combined with our approach to data science is the foundation of all the ComplianceEdge Technology.
Trade Supervision
Transactions are surveilled daily to monitor for suitability, conflict of interest, and rep registration to ensure proper investment recommendations.
Trade Blotter
The supervisory professional responsible for reviewing trades can easily identify and sort trades, comment on trades or alerts, and reconcile everything proactively.
Oversight and Reporting
Management screens and reports enable real-time reporting on alerts and reviews.
Changing How Firms Leverage Compliance Technology
Account Monitoring
Monitor positions and account data each day against benchmarks, thresholds, or configurable rules set by the firm.
Client Account Reviews
Advisories and fiduciaries can perform formal reviews to continuously understand client goals to ensure proper recommendations.
Investment Reviews
Ability for Bank Trusts to perform annual Reg 9 reviews for all discretionary and advisory accounts.
Administrative Reviews
Bank Trusts can perform administrative reviews when they act as a fiduciary or trustee.
Who We Serve
Brokers Dealers
As a Broker Dealer, you have been adjusting your business model to meet new FINRA requirements. You need a robust trade supervision platform that enables you to monitor all rep brokerage activity quickly and efficiently.
Dually-Registered/RIAs
As a dually registered firm, there is an RIA side to your business that is regulated by the SEC which has different requirements from FINRA. ComplianceEdge is designed for these needs.
Bank Trusts
ComplianceEdge enables Bank Trusts to comply with OCC requirements for Reg 9 and Administrative Reviews in a scalable and comprehensive manner.
Some of the largest and most reputable firms in the industry are using ComplianceEdge.
Deep knowledge of the investment process and compliance arena have always been our north star. It enables us to deliver unparalleled outcomes for our customers and their clients.