Employee trading compliance for financial services firms

Register now to find out how you can automate the compliance process.

Employee trading compliance becomes more challenging as volumes grow.

Analysts frequently spend too much time manually inputting data, chasing missing statements, or reconciling. Xceptor provides a solution that automates the capture of broker statements and extracts and validates the data simplifying the compliance process.
In this session, you will find out how to:
CircleWavyCheck Easily add/onboard new employees or brokers.
CircleWavyCheck Extract all the necessary data from employee broker statements apply business rules and manage exceptions.
CircleWavyCheck Communicate with employees to resolve issues.
CircleWavyCheck Automatically chase missing statements.
CircleWavyCheck Update internal systems.
Xceptor - Employee trading compliance for financial services firms

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