Trade Surveillance & Compliance
Risk7 Policy-Driven Automated Oversight
Built for CIRO, FINRA and SEC regulated brokerage and wealth advisory firms, Risk7 is exception-based trade surveillance software. By surfacing only the exceptions that need human judgment, it multiplies your team’s oversight capacity without adding headcount.
Mary Leblanc · share of liquid assetsThe Platform Advantage
From Siloed Point Solutions to Lifecycle Governance
Because digital onboarding, trade surveillance, supervision and KYC maintenance share one data layer, compliance moves from manual review after the fact to continuous oversight across the whole client lifecycle.
Trade Surveillance
Parameter-based alerts automate daily monitoring for suitability, conflicts, and manipulative activity, featuring centralized review queues aligned with CIRO and FINRA trade surveillance obligations.
Account Oversight
Scale supervisory capacity across advisory and brokerage accounts using automated, threshold-based tracking of client holdings and activity connected to firm policies.
Discretionary Reviews
Automated oversight and compliance monitoring tailored for discretionary and fiduciary client accounts to monitor against mandate limits and regulatory obligations.
Compliance Communication
Structured two-way case management between oversight teams and advisors, backed by timestamped audit trails for exam-ready compliance.
KYC Monitoring
Surfaces past-due account alerts and immediately flags trading activity on expired KYC profiles before compliance gaps arise.
Reporting Cycles
Multi-custodian data normalization with automated daily, monthly, and quarterly reporting for seamless CIRO, FINRA and SEC regulatory oversight.
Human Judgment Amplified by Automation
Engineered for Wealth Management
As trade surveillance software engineered for complex regulatory environments, Risk7 automates the heavy lifting of trade and account oversight. By turning fragmented multi-custodian data into clear, actionable alerts, it lets compliance teams extend their supervisory reach without adding headcount.
Broker-Dealers
Built for broker-dealers with complex, high-volume trading books, Risk7 streamlines multi-custodian surveillance with automated, threshold-based exception queues that support CIRO, FINRA and SEC regulatory obligations.
Wealth Advisory
Designed for growing RIA and portfolio management practices, Risk7 automates account oversight, mandate compliance and KYC tracking, so oversight keeps pace with your advisor team without adding compliance headcount.
Banks
Built for large bank retail and wealth operations, Risk7 normalizes complex data and automates daily, monthly and quarterly reporting for CIRO governance.
Your team reviews 0.4% — not 100%
One Client - One Month of Operations 09/2026
1,527,339
Total monthly trades & transactions
99.6%
Automatically cleared by Risk7
0.4%
Alerted for human judgment
Move from Reactive to Proactive Oversight
Unified Oversight Across Your Regulatory Workflows
Risk7 replaces manual review with a compliance engine built for wealth advisory and brokerage firms. It brings your regulatory workflows into one platform, with intelligent alerting, clear reporting and one place to work every finding. As a result, your team resolves findings faster and stays exam-ready.
Step 01 · Configure
Connected to Your Policies & Procedures
Power Compliance with Intelligent Automation
Your firm, your rules. Configure rule- and parameter-based automation that mirrors your policies and procedures.
Rules mapped to your policies & procedures
Thresholds configurable by line of business
Automated daily oversight workflows
- 10:30Alert raised by Risk7
- 10:30Routed to Compliance Team
- 10:41Picked up by Sarah Chen
- 10:52Resolved · rationale logged
Step 02 · Route & Review
Alerts Routed to the Right Team
Intelligent Routing &
Swift Resolutions
Critical alerts reach the right person or team instantly, so risks are addressed as they emerge.
Alerts routed by team and role
Faster response to flagged events
Every resolution logged in the audit trail
Step 03 · Report
Reducing Audit Preparation Time
Streamlined
Cycle Reporting
Deliver accurate, regulator-ready reporting on demand, without the audit-season scramble.
Reports on demand for regulators
Reduced audit preparation time
Daily, monthly and quarterly cycles
For US Broker-Dealers and RIAs
Mapped to FINRA
and SEC Obligations
FINRA Rule 3110
Every trade screened against 135+ exception types, with each review, escalation and resolution recorded as evidence of your supervisory system.
Rule 2111 and Reg BI
Trades checked against each client’s investment profile, with suitability and best-interest exceptions routed for review.
SEC Rule 204A-1
Access persons’ personal trading monitored against your code of ethics, with exceptions routed for review.
SEC Rules 17a-3 and 17a-4
Alerts, reviews and decisions kept as permanent, timestamped records, with storage that meets Rule 17a-4 requirements.
Frequently Asked Questions
Risk7 Trade Surveillance Software
What is Risk7 trade surveillance software?
Risk7 is Four Eyes Financial’s trade surveillance software for wealth management firms. It automates exception-based trade surveillance, account oversight and compliance reporting across multi-custodian books of record, so compliance teams review only the activity that needs human judgment. Risk7 is available in English, French and Spanish, and each reviewer can choose their working language.
What regulatory frameworks and jurisdictions is Risk7 designed to support?
Risk7 is designed for CIRO, FINRA and SEC regulated firms. In Canada, it supports trade review obligations under CIRO Universal Market Integrity Rules, Rule 3900 and the Client Focused Reforms under NI 31-103. In the United States, it supports supervision under FINRA Rule 3110, suitability under FINRA Rule 2111 the SEC’s Regulation Best Interest and personal trading under the Code of Ethics Rule 204A-1, with alerts and reviews kept as records that meet SEC Rule 17a-4. Every surveillance alert is mapped to the rules it supports, so reviewers can connect each exception to a specific regulatory obligation.
Can Risk7 alerts follow our Written Supervisory Procedures?
Yes. Alerts are rule- and parameter-based, so firms can encode their Written Supervisory Procedures (WSPs), such as concentration limits tailored to client risk profiles. In addition, firm-set thresholds are kept separate from baseline regulatory requirements, so the audit trail shows which is which. Thresholds can also be set by line of business, so brokerage and private wealth, or retail and discretionary (managed) accounts, are each reviewed against the right parameters on one instance.
How much manual review does Risk7 eliminate?
In September 2026, at a single enterprise client, Risk7 processed 1,527,339 trades and transactions and automatically cleared 99.6% of them, leaving 0.4% for human review (Four Eyes client data).
What types of financial institutions benefit most from Risk7?
Risk7 is built for three kinds of firms: broker-dealers with high-volume, multi-custodian trading books; wealth advisory firms managing fiduciary and discretionary accounts; and banks running both retail and wealth operations.
How long does it take to implement Risk7?
Implementations typically take 3 to 8 months, depending on the modules you deploy, the complexity of your data and the number of custodian feeds.
Is Risk7 SOC 2 Type II compliant?
Yes. The Four Eyes platform is SOC 2 Type II compliant and independently audited annually by Aprio LLP. Every firm runs on a dedicated single-tenant instance with its own non-shared database and unique encryption keys, hosted in Canada for Canadian firms and in the United States for US firms.
How does Risk7 work with Pre-Trade Analyzer and Case Management?
They cover compliance before and after the order. Pre-Trade Analyzer catches suitability issues before a trade is placed, Risk7 surveils trades and accounts after it, and every exception that needs human judgment becomes a governed case in Case Management, all on the same client records.
How does Four Eyes govern AI?
Four Eyes is built for governed AI. Four Eyes Cue runs inside your firm’s single-tenant instance, and your data never trains shared models. A human reviews and approves every AI output before it is used, and every action is logged with who did it and when, along with the prompt, output and model version, so you can show examiners how AI is supervised. Cue uses AI models hosted on Amazon Bedrock within your firm’s own instance, with requests processed in-country. Prompts and data are never shared with model providers or used to train models. Firms can switch AI features on or off module by module, and Cue only sees the data each user’s SSO role allows. Read how we govern AI.
Beyond Surveillance
Scale Your Oversight Operations
Deploy automated surveillance and multi-custodian oversight to streamline daily operations, maintain exam-ready compliance with CIRO, FINRA, and SEC standards, and replace fragmented legacy tools. In addition, every exception that needs human judgment is routed into a governed case.