Enabling Operational Compliance

IN FINANCIAL & CAPITAL MARKETS

Managing Real-Time Compliance, Ethics & Best Practice

How do you ensure that every transaction or trade is conducted in line with best practice, is ethical and compliant?

We help by providing you with real-time visibility into transactions, identifying any areas of non-compliance so they can be addressed immediately and flagging any potential indicators of vulnerabilities that need to be reviewed.

We capture every part of every trade including voice and text interactions and any supporting data feeds. We analyse these against your policies and present you with a real-time dashboard of what is happening now and automatically triggering alerts, actions and workflows.

SmartCompliance For Trading

We enable you to capture every part of each trade including voice conversations, messaging, news feeds and transactional data. By enriching each recording with detailed meta data we allow for these to be linked by customer, trader, or specific transaction, and by sequencing these in chronological order, we enable holistic event reconstruction.

Every conversation is transcribed in order to utilise our analytics capability to spot key words and phrases to understand the nature of conversations and the proximity of these words to ascertain context. This allows us to review each transaction against your policies ensuring that key information has been requested, the relevant confirmation has been sought and any compliance statements have been clearly provided.

We remove the delay and burden of managing compliance by providing your team with real-time visibility into the trades and transactions taking place. Our dashboards flag any areas of concern including non-compliance, potential insider trading, or indicators of customer vulnerability.

By allowing you to define triggers, we are able to automatically alert the relevant person to any anomalies and to action workflow to address any gaps in process or compliance.

KEY FEATURES:

  • Voice & Screen Recording
  • Key Phrase Analysis
  • Compliance Analysis
  • Vulnerability Detection
  • Event Reconstruction
  • Dashboards, Alerts & Workflow

KEY FEATURES:

  • Voice & Screen Recording
  • Key Phrase Analysis
  • Compliance Analysis
  • Vulnerability Detection
  • Event Reconstruction
  • Dashboards, Alerts & Workflow
)

The Benefits Delivered

By leveraging Liquid Voice SmartCompliance, you are able to ensure every trade follows your best practice and is both ethical and compliant. The benefits you will gain include:

Reduced Risk – by ensuring every trade being conducted is fully compliant to both your best practice and industry regulations; that you are taking every step to highlight indicators of vulnerability or potential cases of insider trading.

Reduce Compliance Burden – by automating many of the checks of compliance and raising potential areas of concern immediately when they are a lot easier to rectify.

Evidence Best Practice – through ensuring an accurate log of each transaction is kept along with the associated interactions and data and allowing for this to be instantly retrieved and each trade holistically reconstructed.

Let’s Discuss

How We Can Help Our experience in recording and analysing financial trading perfectly positions us to assist you in ensuring you are taking every possible step to assure compliance.

We can help you understand what capabilities you could be leveraging and how our SmartCompliance solution can add considerable value to your operation.

Simply complete the form and one of our team will reach out to you.