Increase operational capacity by transitioning from manual daily supervision to automated surveillance.
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.
Daily Exceptions Dashboard
Immediately visualize risk by category, allowing supervisors to focus on what matters. Auto-clear exceptions based on defined parameters.
Strengthen the relationship between compliance supervisors and advisors through a two-way ticketing system & case management tool.
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.
Monitor material changes to the product shelf.