wealth management compliance software

implementing technology allows advisors to test compliance programs to identify gaps and risks. complysci helps compliance professionals monitor conflicts of interest related to personal trading, gifts and entertainment, political contributions, outside business activities, and marketing materials.

“the rules of the road have changed, and leading compliance organizations are embracing a new, innovation-driven mindset.” when firm preclearance requests, disclosures, and approvals are managed in email or outdated technology solutions, there are inherit risks of human oversight when reconciling employee requests with actions. implementing a solution like complysci demonstrates firm-wide compliance and mitigates risks related to employee activities, giving your clients confidence that they are making a smart investment. however, by automating compliance tasks, complysci reduces time spent monitoring employee activity by 70%, allowing compliance officers to spend more time analyzing and improving the strength of their compliance program.

stratifi is a risk management platform that provides a one-stop-shop solution for portfolio risk analysis, client risk profiling and compliance so firms can manage the right risks that are essential for their success. financial advisors use stratifi to educate prospects and clients to grow their practice. stratifi’s prism technology provides factor-based risk analysis that is deep and robust. our client profiling questionnaire evaluates both risk tolerance and financial capacity to help you identify a suitable portfolio for your clients to meet their goals. yes, with carefully designed user experience and data visualizations, our users find the platform very intuitive and start to use it immediately. with stratifi, firms can eliminate additional software expenses and empower advisors to focus on the right risks with a modern risk management solution.

we likely connect to your custodian through our direct and partner integrations that gives us access to over 20,000 financial institutions. prism is a deep and accurate investment risk analysis engine that helps advisors understand which sources of risk drive performance on the upside and on the downside. stratifi provides a sequence of returns risk analysis that is essential for advisors working with retirees so they can explain to them not only their asset allocation but also their risk. clients can finally understand how their advisor can help them reduce downside risk and increase upside potential to achieve their desired outcome. our compliance and oversight functionality enables firms to easily find exceptions and act quickly to protect themselves from lawsuits that at times can cost millions of dollars in fines. you will be provided with a customer success specialist who will assist you with training and support to make sure you see a positive roi with stratifi. yes, we use returns to assess risk by default.

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