Employee Trading Compliance for Financial Services Firms

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:

• Easily add/onboard new employees or brokers
• Extract all the necessary data from employee broker statements apply business rules and manage exceptions
• Communicate with employees to resolve issues
• Automatically chase missing statements
• Update internal systems