Solution introduction

The Risk and compliance Module (RCM) allow to detect offside portfolios and accounts according to investors’ risk objectives

RCM was designed to ensure that wealth management and financial planning firms have the best solution to: support compliance in achieving its objectives, automate the detection of problematic transactions, and mitigate regulatory, financial and reputational risks

The Croesus Risk and Compliance Module can help wealth management professionals keep up with requirements to reduce the costs and workload associated with regulatory compliance. By efficiently pinpointing areas of risk you can provide clients with a more robust, comprehensive investment strategy that takes into account risk scenarios. From automating a risk rating process to allocating the risk of a portfolio to adjusting goals to processing an external, risk rating feed, this tool provides a robust feature set for reducing risk and ensuring compliance.

 Main Benefits

  • Complete audit trail for regulatory guidelines
  • Minimise compliance breaches by proactively identified portfolios that are not adhering to their risk objectives
  • Less risk exposure
  • Productivity improvement
  • Time saving
  • High level reporting for management
  • Compliance tracking (number of days without breach resolved)
  • Clear view on each other’s tasks (real time team audit)
  • Reports on changes at security level and account level (historical view)
  • Notifications on lack of compliance

Key Data

Type of Clients
  • Asset Managers
  • Bank Wealth Managers
  • Brokers/Broker-Dealers
  • Digital Wealth Manager
  • Family Offices
Client Regional Presence
  • North America
  • Western Europe

Croesus Risk and Compliance Module (RCM)

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