Automate Surveillance Practices
Albridge Compliance Management is helping financial organizations automate compliance review processes and focus on regulatory hot spots.
Albridge's compliance management solution gives compliance managers the flexibility to define their own parameters for monitoring sales practices and suitability issues, without the cost and delays of manual, paper-based reviews.
- Automate compliance oversight by matching client suitability data against accounts and holdings
- Free up time and reduce the costly burden of compliance by automating key tasks, including advisor license and registration tracking, AML training and monitoring, supervisory policies and procedures, monitoring of gifting rules and insider trading
- Set parameters for risk concentrations and areas identified as red flags by regulators