Compliance Manager

Satisfy client and regulatory requirements alike

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.

  • Intuitive
  • Automated
  • Adaptable

 

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:

Check mark iconCustomizable compliance rules throughout investment structures

Check mark iconGraphical overview of key metrics and alerts on compliance breaches

Check mark iconIntegrated 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
Features Benefits
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
Product Brochure
Compliance Manager

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.

We will have one of our experts contact you within 48 hours.

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