Comply with new regulations and complex investment strategies
Are you striving to reconcile compliance demands from regulators and clients with your growth ambitions? With an intuitive user interface and the ability to provide real-time compliance monitoring, Compliance Manager is the only solution you need.
Satisfy client and complex regulatory demands as you grow
While your clients have become more demanding in terms of transparency, risk tolerance, and scope of mandates, they have not toned down their demands for growth. At the same time, regulations are becoming increasingly complex. Resolving this dilemma is the core essence of Compliance Manager – reconciling the need for regulatory and client compliance with the drive for unrestricted growth.
Handle compliance with confidence and control
While Compliance Manager allows you to create, modify, and classify compliance rules, it also displays the results of your key pre-trade and post-trade compliance metrics in an intuitive graphical dashboard. Moreover, as our highly automated solution is not merely a passive monitor, it actively alerts you when limits are breached and suggests solutions to compliance issues. This way, you can transfer resources from previous manual compliance checks to your core business – creating alpha for your clients.
Incorporate risk analytics and external values in an integrated solution
You can run compliance checks or create and modify rules using internal values from our solution or values from another system. You can also expand the efficiency and depth of your compliance activities by automatically incorporating risk analytics.
As part of our Front Office Suite, Compliance Manager offers:
Customizable compliance rules throughout investment structures
Graphical overview of key metrics and alerts on compliance breaches
Integrated risk analytics in compliance rules and validations
Because of the system’s compliance functionality, we have also been able to deal with an increasingly diverse range of clients and investment prescriptions so we now support a much wider range of clients.Martyn Ryan, COO & Partner, Genesis Investment Management
|Single screen user interface||Gives you an instant overview and insight in a single workspace with minimal clutter|
|Dashboard consisting of compliance metrics you have chosen||Presents a quick and easy graphical overview of the current status of your most important metrics|
|Compliance alerts||Informs you immediately when limits set by you have been breached|
|Comprehensive rule creation functionality applicable at any level of the portfolio/fund hierarchy||Allows you to create, modify and apply compliance rules anywhere in the investment structure|
|Rule sets||Eases application of common rules across multiple portfolios, clients or similar parameters|
|Pre- and post-trade as well as end-of-day compliance checks||Facilitates compliance checks at any point of the investment process from initial simulation to completed trades|
|Cash monitoring rules||Ensures sufficient cash is available on settlement date, reducing operational risk|
|Integration of risk analytics||Better overview of risk implications as risk analytics are integrated directly into compliance rules and validations|