Your most-valued investment: The ROI is amazing

  • Meeting regulatory and reporting requirements
  • Interpreting policy statements and attaining clarity on the mandate in policy statements
  • Coding the mandate into the compliance rule engine to automate monitoring
  • Communicating instances of violation to regulators and investors
  • Liaising with multiple teams, including front-office, client relationship, legal and operations on matters relating to the compliance function
  • Ability to process real-time data changes and produce key accurate results for pre- and post-trade monitoring
  • Ability to avoid creating false positives that consume the precious time of a compliance officer
  • Suite of regulatory and commonly used rule templates that help in easy coding and activation of rules
  • Easy and simple workflow in terms of breach management
  • Robust audit capabilities with the ability to store data for a reasonable period of time
  • Dashboard capabilities with visualisation for enhanced user experience

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Acuity Knowledge Partners

Acuity Knowledge Partners

We write about financial industry trends, the impact of regulatory changes and opinions on industry inflection points. https://www.acuitykp.com/