Who We Serve by Role
One Client Record - One Data Layer
Every Role
From the Chief Compliance Officer to the advisor’s associates, every team member collaborates on a single client record with role-specific views, ensuring seamless handoffs from account opening to oversight in one exam-ready audit trail.
One Connected Data Layer
Built Around
Your Role
Compliance Officers
Exam-ready every day, with policies encoded and secondary approval where sign-off matters. See your day
Supervisors & Analysts
One queue for trade exceptions, approvals and KYC updates, with only what needs human judgment. See your day
Advisors
Accounts opened online, one-step KYC updates and proposals checked before placing the order. See your day
Associates & Assistants
Packages and comparisons prepared for the advisor’s review, with Fund Fact Sheets delivered and logged. See your day
Operations Teams
Accounts validated before submission, e-signatures tracked and whole books transitioned in days. See your day
Leadership
New advisors and lines of business added on one instance, with firm-wide KPI reporting. See your day
A Day in Each Role
From Siloed Teams
to One Shared Record
Role
Today
With Four Eyes
Compliance Officers
Evidence pieced together from email and spreadsheets before an exam
Every review and decision logs the reviewer’s identity and timestamp, ready for examiners
Supervisors & Analysts
Blotters, approvals and KYC changes reviewed in separate systems
One queue for trade exceptions, account approvals and KYC updates, with only what needs human judgment
Advisors
Paper forms, re-keyed KYC and recommendations documented after the fact
Accounts opened online, one-step KYC updates and proposals checked in Pre-Trade Analyzer before placing the order
Associates & Assistants
Packages and comparisons assembled by hand for the advisor
Account packages and product comparisons prepared for the advisor’s review, with Fund Fact Sheets delivered and logged
Operations Teams
Accounts re-keyed and chased for signatures
Accounts validated before submission, with e-signatures tracked through DocuSign or DocuSeal
Leadership
Each new advisor book or line of business means more systems and staff
New books onboarded in days and new lines of business added on one instance
Cross-Functional Alignment
Seamless Handoffs from Opening to Oversight
Eliminate operational silos with structured handoffs from onboarding to executive oversight, ensuring total visibility at every stage.
Associate
Prepare
Pre-fills the account package and builds product comparisons for the advisor.
Advisor
Recommend
Reviews the package, checks the proposal in Pre-Trade Analyzer and attests the recommendation.
Supervisor
Approve
Approves, returns or escalates new accounts and material KYC updates with full context.
Operations
Track
Tracks every account from e-signature to opened and steps in to resolve anything that stalls.
Compliance
Surveil & Resolve
Reviews the Risk7 trade exceptions that need human judgment and closes escalated cases with written rationale.
Leadership
Oversee
Sees deadlines, exceptions and KPIs across the firm.
Role by Role
What Changes
in Your Day
Compliance Officers
One view of onboarding, KYC, product, surveillance, complaints and caseworkAlert parameters set to your policies, kept separate from regulatory requirementsSecondary approval wherever sign-off mattersEvery review and decision logs the reviewer’s identity and timestamp
Supervisors & Analysts
Unified Risk7 queues: review trade exceptions and focus solely on what requires human judgmentAccount approvals and KYC updates open with full contextProduct shelf changes and CE submissions in the same queuesNo one approves their own work
Advisors
Open accounts online with guided, validated formsClients confirm or update their KYC in one stepResearch and compare products at the point of saleCheck proposals in Pre-Trade Analyzer before placing the order
Associates & Assistants
Prepare account packages for the advisor’s reviewBuild product comparisons for the advisor’s Review tabDeliver Fund Fact Sheets in the client’s preferred languageRecommendations and attestations stay with the advisor
Operations Teams
Pre-filled, validated account packagesCustodian-specific rules configured onceE-signatures tracked through DocuSign or DocuSealWhole advisor books moved with Bulk Transitions
Leadership
Incoming advisor books onboarded in daysNew lines of business on one single-tenant instanceDeadline and KPI reporting across the firmAdd modules as you grow, without re-implementation
By the Numbers
Built for Regulated Firms at Scale
$1.6B
in assets re-papered in six days for one independent wealth firm
135+
Risk7 exception types screened on every trade
SOC 2 Type II
compliant, with controls audited by Aprio LLP
Frequently Asked Questions
The Compliance Lifecycle Platform for Every Role
What is role-based compliance software?
Software where every role in a wealth firm, from the chief compliance officer to the advisor’s associate, works on one client record with views and permissions set for that role. Four Eyes Financial covers account opening, KYC, product research, trade surveillance, casework and reporting, with every handoff recorded.
Which roles use Four Eyes Financial?
Compliance officers, supervisors and analysts, advisors, associates and assistants, operations teams and leadership, each working on the same client record with permissions set by the firm.
How are permissions set for each role?
Through single sign-on and role-based access control. The firm sets permissions for every role, so each person sees the work that’s theirs, and no one can approve their own work.
What does Four Eyes give a chief compliance officer?
One view of onboarding, KYC, product governance, surveillance, complaints and casework, with encoded policies, secondary approval and oversight reporting, and every review and decision logging the reviewer’s identity and timestamp.
How do supervisors and analysts use it?
Through focused review queues for trade exceptions, account approvals, KYC updates, product shelf changes, cases and CE submissions, each opening with the context needed to decide.
How does it save advisors time?
Guided onboarding validates data before submission, KYC updates take one step when nothing has changed, and associates prepare packages and comparisons for the advisor’s review.
Who approves recommendations prepared by associates?
The advisor. Associates prepare comparisons and packages, while recommendations and point-of-sale attestations stay with the advisor, and supervisors approve items that need sign-off.
How does work move between roles?
Associates prepare the account package, advisors check the proposal and attest the recommendation, supervisors approve new accounts and material KYC updates, operations track accounts to opened, compliance reviews Risk7 exceptions and resolves cases, and leadership sees deadlines, exceptions and KPIs across the firm.
How does it help operations teams?
Data is validated automatically before submission and custodian rules are configured once, so operations can track every account through e-signature and approval to opened, support advisors when something stalls, and run bulk transitions.
Why do leaders choose Four Eyes?
Because it scales with recruiting and new lines of business on one single-tenant instance, and firms can start with one module and add others without re-implementation.
Is the platform multilingual?
Yes. Advisors, associates, supervisors and analysts can each choose the language they work in within the platform, and clients complete account opening and KYC updates in their preferred language.
Find Your Fit
See Four Eyes for Your Team
Book a walkthrough built around the roles on your team and the work each one owns.