Solution introduction
Gain real-time visibility into all employee activity through AI-driven monitoring, automated certifications, and policy enforcement, enabling faster risk detection, stronger compliance control, and audit-ready execution across your entire program
Gain real-time visibility across certifications, disclosures (OBA, gifts, contributions), and personal trading. Automate enforcement, route exceptions, and maintain immutable timelines, for faster detection, stronger controls, and exam-ready execution across your firm
Outcomes that Matter
Minimize “Time To Compliant”
AI accelerates both sides of the workflow: advisors get guided, error-free tasks that finish quickly, while compliance receives clean, organized inputs that require minimal follow-up. The result is a firm that reaches full compliance far faster, with less work from everyone involved.
Get AI-Enhanced Accuracy
AI analyzes employee trades, disclosures, communications, and certifications to catch conflicts, policy gaps, and inconsistencies you might miss in real time. Reviewers get precise, contextual alerts that improve accuracy across every oversight function.
Become Effortlessly Exam Ready
Employee Oversight creates an immutable, end-to-end compliance record that regulators love: complete, consistent, and instantly exportable. When exams hit, the full history of employee activity and oversight is already prepared and packaged.
