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Average Ratings 0 Ratings

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ease
features
design
support

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Write a Review

Description

The FIS Trading Compliance Manager is an all-encompassing, web-driven solution for regulatory surveillance and compliance across multiple asset classes, aimed at assisting sell-side financial institutions in identifying, tracking, and addressing possible trading infractions throughout the entire order lifecycle by merging alerts with extensive market and client information. This innovative platform delivers comprehensive trade surveillance, regulatory reporting, and supervisory controls, facilitating daily reviews, post-trade evaluations, best execution assessments, and adherence to regulations such as RegNMS, RegSHO, and market manipulation statutes, while also accommodating data requests like Electronic Blue Sheets (EBS) and OATS. By providing a centralized, permission-based environment, it enhances oversight capabilities, minimizes risk, and reduces manual processes for firms. Furthermore, the system's ability to deliver a holistic perspective on order placements and trading behavior, combined with strong alert mechanisms and integrated data storage, empowers organizations to optimize their compliance workflows, elevate the quality of execution data, bolster management reporting, and diminish reputational risks in the process. Ultimately, this solution is essential for navigating the intricate landscape of trading compliance effectively.

Description

Greenboard is an innovative, cloud-based platform that harnesses AI to serve as a comprehensive operating system for regulatory compliance tailored to the requirements of financial firms governed by the SEC and FINRA. By merging various often-disparate tools into a cohesive dashboard, it efficiently manages essential functions such as archiving, supervision of communications, compliance workflows at both the firm and employee levels, vendor compliance, marketing content assessments, trade testing, and meticulous record-keeping that is audit-ready. Utilizing its proprietary “Greenboard Go” AI engine, which seamlessly integrates with all data within the firm, it proactively identifies risks, highlights compliance discrepancies, and aids in maintaining uniform internal policies. The platform's user interface and underlying architecture prioritize both usability and security, incorporating role-based access controls, robust data infrastructure, and adherence to SOC2-Type 2 standards to protect data privacy and ensure compliance with regulatory requirements. Furthermore, this comprehensive approach not only streamlines operations but also fortifies the organization’s defenses against potential compliance violations.

API Access

Has API

API Access

Has API

Screenshots View All

Screenshots View All

Integrations

No details available.

Integrations

No details available.

Pricing Details

No price information available.
Free Trial
Free Version

Pricing Details

No price information available.
Free Trial
Free Version

Deployment

Web-Based
On-Premises
iPhone App
iPad App
Android App
Windows
Mac
Linux
Chromebook

Deployment

Web-Based
On-Premises
iPhone App
iPad App
Android App
Windows
Mac
Linux
Chromebook

Customer Support

Business Hours
Live Rep (24/7)
Online Support

Customer Support

Business Hours
Live Rep (24/7)
Online Support

Types of Training

Training Docs
Webinars
Live Training (Online)
In Person

Types of Training

Training Docs
Webinars
Live Training (Online)
In Person

Vendor Details

Company Name

FIS

Founded

1968

Country

United States

Website

www.fisglobal.com/products/fis-compliance-suite/fis-trading-compliance-manager

Vendor Details

Company Name

Greenboard

Founded

2023

Country

United States

Website

www.greenboard.com

Product Features

Product Features

Compliance

Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
FDA Compliance
HIPAA Compliance
ISO Compliance
Incident Management
OSHA Compliance
Risk Management
Sarbanes-Oxley Compliance
Surveys & Feedback
Version Control
Workflow / Process Automation

Alternatives

Alternatives

Validus Reviews

Validus

Eventus