Risk7

Risk7

Meet Regulatory demands with confidence and scale. Manage by exception, spending more time on the reviews that matter most.

Risk7 has dramatically improved the way we work.”

Marta Nasiadka, Vice President of Business Integrity,
Aligned Capital Partners Inc.

Want to learn how RISK7 can give you 50% more capacity?

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Daily Exceptions Dashboard

Immediately visualize risk by category, allowing supervisors to focus on what matters. Auto-clear exceptions based on defined parameters.

Case Management

Strengthen the relationship between compliance supervisors and advisors through a two-way ticketing system & case management tool.

Transaction Search

Facilitate audit reviews and enable real-time custom reporting based on defined search criteria against a single database.

KYC Advisor Dashboard

View total KYC past due & upcoming in the next 30, 60, 90 days.

Point of Sale & KYP Product Comparison

Advisors may search, compare, select & save products, and deliver product Fund Facts to meet KYP regulatory requirements.

Approved Product List

Enables dealers to manage approved product shelf, creating a digital audit trail.

Shelf Radar

Monitor material changes to the product shelf.

Now we feel in control of our day and have greater confidence in our supervision.

Marta Nasiadka, Vice President of Business Integrity,
Aligned Capital Partners Inc.

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