Compliance Ecosystem
The Broadridge Compliance and Surveillance solution is a multi-asset platform built to help broker-dealers surveil and monitor a wide range of activity; and includes the following features:
- Configurable Rules Engine to address regulatory changes and analyze trends
- Centralized case management and entitlement-driven dashboards with flexible configurations and alerts
- Actionable analytics with flexible, accessible, and secure reports
- Integrated data across the firm
Designed with extensive industry expertise and hands-on user input, Broadridge Wealth Compliance and Surveillance solution’s automated and highly configurable rules engine enables your firm to proactively identify and monitor:
- Asset allocations that deviate from a client’s investment objectives
- Holistic views of asset mixes, including assets held-away
- Advisor activities, such as Personal Trading or Outside Business Activity
- Compliance risk score evaluations
- Risky or anomalous behavior
- Potential compliance violations
If you would like to learn more about how Broadridge’s Wealth Compliance and Surveillance solution can protect your firm in today’s rapidly changing regulatory environment, contact your Broadridge Account Manager or visit us at Take the More Efficient Path to Mitigate Compliance Risk.
