Employee trade monitoring
Monitor and mitigate employee personal securities transactions risk with a proactive monitoring solution designed to specifically address the unique needs of RIAs.
Our employee trade monitoring solution enhances your existing compliance program with:
Streamlined transactions, holdings and accounts attestations process
Proactive identification and resolution of potential trading and firm-level policy violations
Automated the personal trading pre-clearance process
Customizable trade limits and restricted lists
Automatic logging of all trade monitoring activities of employees
Compliance technology designed specifically for RIAs
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Integrations
Our powerful integration capabilities facilitate data connections between MyRIACompliance and other industry-leading solutions, enhancing communications, increasing efficiency and providing a seamless customer experience.
Industry partners
With best-in-class industry partners, we are streamlining processes and increasing accuracy for registered investment advisers and their firms.
Superior user experience
Built on a mobile-first architecture, our platform provides a frictionless experience for you and your employees, making compliance easy and painless.
Platform innovation
Incorporating direct feedback from COMPLY’s portfolio of firms, we continuously implement the enhancements that matter most to our clients.
Award-winning customer service
Your experience is our top priority. With 24/5 customer service and extensive industry knowledge, you can count on a smooth and ideal customer experience.
Backed by regulatory expertise
Our technology and resources are backed by decades of regulatory expertise, with the support of compliance consultants who have served as CCOs, lawyers and regulators themselves.
Complementary solutions
Looking for more? RIA in a Box and our fellow COMPLY portfolio of firms are here to help you build a tailored compliance solution tailor fitted for where your firm is today and where you plan to be tomorrow.
Supporting documents
RIA Code of Ethics: Employee Trade Monitoring During Market Volatility
RIA in a Box Announces Employee Trade Monitoring Software Enhancements
Why RIAs use compliance technology to automate employee trade monitoring
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Frequently Asked Questions
Who is this product designed for?
Which regulations will this tool help me comply with?
Does the system create access person holdings and transactions reports?
Does the system allow CCOs to manage a restricted securities list?
Ready to get started?
Monitor, verify, mitigate. Power up your employee trade monitoring solution today.