Beyond The Blotter
Surveillance & Suitability software used by compliance teams at wealth firms for KYC/KYP Trade Supervision and Suitability reviews.
Risk7
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?


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


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


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


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


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


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