COMPLIANCEEDGE

A revolutionary Trade Surveillance & Account Monitoring platform that enables Broker Dealers, RIAs and Bank Trust companies to provide their customers with the highest levels of stewardship, while exceeding the ever-evolving regulatory guidelines.

We create the highest standard of outcomes for our customers' compliance and risk groups.

We believe that the compliance officer of the future should play a pivotal role in how financial firms are built, grown, and run. That’s why we empower them with the technology and knowledge to transform the firms they serve.

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Compliance Officers Get Ahead with ComplianceEdge

Transformative

With changing regulations and market dynamics, compliance is now driving the evolution of Broker Dealers and RIAs. We provide the tools and services to empower CCOs to take an innovative approach and drive meaningful change.

Knowledgeable

Compliance officers need to be able to act quickly and decisively to mitigate risk. With ComplianceEdge, they can access unparalleled depth of data to make the best short and long term decisions for their 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 surveillance 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 & reputational risks.

Lack of 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 Surveillance

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 & 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 surveillance platform that enables you to monitor all rep brokerage activity quickly and efficiently.

Dually Registered/RIAs

As a dully 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.

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