Surveillance & Suitability software used by compliance teams

Risk7

Marta Nasiadka
Business Integrity Manager, Aligned Capital Partners

Surveillance & Suitability software used by compliance teams at wealth firms for KYC/KYP Trade Supervision and Suitability reviews.

Meet Regulatory demands with confidence and scale. Decrease human error and replace clutter with focused intelligent alerts.

“Risk7 has dramatically improved the way we work”

Marta Nasiadka, Business Integrity Manager,
Aligned Capital Partners

Want to learn how Risk7 can give you 50% more capacity?

Immediate visualization of risk by category allowing supervisors to focus on what matters.

Strengthen the relationship between compliance supervisors and advisors, while accelerating cycle time from active to resolved.

Shorten review cycle times and enable compliance teams to focus on exceptions that require human judgment.

Use the Four Eyes risk ratings, complement existing ratings, and/or integrate with third parties.

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

Streamline supervision with our Rep Code Management, Approved Product List and Outside Business Activity modules.

	Trade Suitability (account, portfolio, household)
	Trade Surveillance
	Suitability Analysis
	Automated Inquiries
	Embedded Inquiry Management
	Stress Test
	Portfolio Analysis

Outside Business Activities (OBA) Management

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

Marta Nasiadka, Business Integrity Manager,
Aligned Capital Partners