Benefits | Subserveo

By: Subserveo  09-12-2011
Keywords: Brokerage, Brokerage Firms, Compliance Automation

Subserveo gives brokerage firms confidence that their compliance and supervisory activities are functional, accountable, and executed consistently according to firm policy across the whole organization.

We enhance the Compliance Officer role, empowering demonstration of on-demand, firm-wide compliance to senior management and regulators, while enabling Compliance Supervisors to more effectively conduct trade blotter reviews, examinations, and investigations.

Easily Identify and Manage Potential Compliance Issues

  • Interfaces with all brokerage processing platforms and systems of record, extracting data for analysis and review from each application
  • Surveys and alerts on Exchange, ATS or OMS data for comprehensive market integrity and order priority rules coverage
  • Assists with the daily execution of account state, transaction, and order surveillance by presenting exceptions to supervisory, and compliance staff
  • Allows for comprehensive account surveillance and suitability by referencing sector, concentration reference, and risk data models
  • Provides user management with an administration console that enables the assignment of entitlements and jurisdictions
  • Create ageing and key performance reports from archived compliance cases and user information Leverages the rich data set to easily
  • With a flexible architecture, Subserveo can provide and support compliance automation and functionality to not only medium and large firms but also to clearing or carrying broker service providers, extending the reach to small brokerage firms as well

Provides Access to Reference Data

  • Seamlessly coexists and leverages order management, brokerage processing platforms, and market data sources, enabling compliance supervisors to more effectively conduct trade blotter reviews, examinations, and investigations
  • Easily consolidates access to information from multiple data sources of any type (data warehouse, web, data feeds, etc.)

Provides Complete Compliance Functionality

  • Accurately analyzes all orders, transactions & accounts, and alerting compliance officers and supervising principals by dashboard or ‘one-view’ of possible regulatory infractions
  • Gives users a comprehensive real-time status report of compliance activities by views of alerts, in-progress investigations, and resolved cases
  • Easy and intuitive user interface gives the status of each department, trading desk and branch
  • Uncomplicated and effective case management tools give a detailed transaction, account or order view, with features that allow comments and findings to be added, creating an electronic paper trail of investigation action, enforcement, and resolution
  • Provides compliance management the ability to customize, prioritize and alter parameters of any compliance test – from alerting time and frequency of surveillance of locations and RR numbers to security symbols or CUSIP numbers
  • Enabling compliance and branch managers to monitor individual account suitability by leveraging internally managed risk models

Easy to learn, Easy to Use

  • Delivers information directly to the users (compliance officers, branch managers and trading supervisors) through a self-service portal that presents each exception notification along with detailed transaction information
  • Documents evidence of supervision – Subserveo’s alerts are archived and stored securely for easy retrieval, providing peace of mind rather than relying on a folder in a drawer

Keywords: Brokerage, Brokerage Firms, Compliance Automation, Compliance Officers,

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