Solution introduction
Our solution draws from multi-custodial data across diverse systems for easier exception recognition, follow up, resolution, documentation and reporting.
Powered by Actimize.
Albridge Sales Practice Monitoring allows your firm to monitor transactions and accounts at either the branch or advisor level and document compliance comments or actions. Your firm can support increased sales activity levels without increasing compliance staff. This is through automated identification of regulatory hot spots and red flag sales practice patterns, and the ability to flag transactions that pose suitability problems or require attention. Finally, you can guide compliance supervisors and staff in implementing consistent surveillance methods.
