Compliance Manager

An industry leading compliance rule/guideline builder to provide powerful, customized compliance with no programming requirements.

Is it the right fit for our organization?

FinMT's compliance manager system addresses the following issues:

• Manual compliance process doesn't enable asset managers and compliance officers to demonstrate robust risk management controls to the increasingly demanding clients and regulators

• The lack of real-time compliance monitoring significantly increases any potential legal liability exposure and could lead to costly PR disasters

• Portfolios have become filled with more complex and geographically diverse financial instruments and assets under management have swelled, increasing the complexity of all control functions

• New types of requirements are difficult or impossible to implement

• The change of compliance rules requires extensive involvement of IT and other back office personnel

• The current compliance process doesn't always meet client's suitability requirements

• Compliance process is inefficient, time consuming and expensive

• Appropriate personnel is not notified in an efficient manner when a compliance rule has been breached

Solutions benefits:

• Strengthen the investment process by adding pre and post trade compliance functionality.

• Reduce risk of errors in investment management of clients accounts and reduce potential liabilities (financial, reputation)

• Automate checking of all compliance validation rules (no more manual validation of paper reports)

• Reduce resource/day effort required to generate compliance reports.

• Reduce maintenance effort required to maintain current.

• Compliance validation process

• Allocate role and responsibilities to avoid conflicts of interest (task segregation)

And more features:

• Comprehensive audit trail

• Satisfies all types of compliance requirements using custom rules including warnings, breaches, hard and soft rules.

• A set of "out of the box" rules to adopt the system quickly.

• The ability to create any new set of rules without the involvement of any programming and not requiring any system technical knowledge

• Flexible and expandable with ease of integration and implementation

• Designed to allow seamless integration with third party data sources

• Streamlined workflow saves time and improves operational efficiencies

• Built in email/pager notification services 

• Comprehensive reporting facilities