Risk7

Marta Nasiadka
Business Integrity Manager, Aligned Capital Partners

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?

Let’s talk

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 judgement.

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.

Risk7 Capabilities

01. Trade Surveillance & Suitability

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

02. Compliance Management

Document Repository
Rep Code Management
Regulatory Reporting
Trend Analysis
Performance Dashboards
Product List Management
Audit Log
Insider Trading (SEDI)
Fund Facts
Security Risk Rating
Auditor Window
Product List Management
Audit Log

03. Advisor Management

Advisor Registration (NRD)
Advisor Risk Score
ARPA Advisor Annual Review

04. Coming Soon

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

Book a demo