InvestEdge

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Overview

InvestEdge's enhanced Compliance Middle Office Management (CMOM) solution allows wealth managers to increase efficiency and lower costs while still meeting all regulatory requirements for administrative and investment reviews.

Key Features

Daily Monitoring

  • Monitor accounts daily without disrupting the workflow of advisors
  • Automate and record each step of the review process (including who reviewed, when, comments, and final approval)
  • Simplify Reg. 9 account reviews for auditors -- performing a review is as easy as running a report

Asset-level Monitoring

  • Implement rules that can be applied to all accounts or single accounts
  • Receive daily notification of compliance problems and take immediate action
  • View exceptions by account, manager or all accounts
  • Group accounts and monitor as a whole to ensure policies are correctly applied

Mitigate Risk

  • Create a history of all compliance issues and actions taken
  • Prioritize exceptions based on severity and due date
  • Manage accounts in accordance with policies and restrictions
  • Consistently manage firm-wide policies

Key Benefits

InvestEdge's Compliance Middle Office Management (CMOM) solution focuses on four key features that reduce the hours spent conducting reviews without sacrificing quality, allowing wealth mangers to cost-effectively scale their business:

  • Quality Control Process - algorithm that selects a random, statistically valid percentage of total reviews for a second review
  • Task Reassignment - allocate work across review processes to users in the front and middle office
  • Configurable Review Types - build review types that can be based on an unlimited number of characteristics
  • Automated Workflow - exception based daily-monitoring at the account, policy, asset, branch and company level