Automate compliance processes for trading brokerages

VComply streamlines compliance management for trading brokerages, ensuring adherence to regulations such as AML and ensure financial transparency.

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Reduce risk with mitigation plans and controls

Detect risks and allocate mitigation plans to control owners, promptly addressing emerging risks, compliance gaps.

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Simplify compliance

Maps various federal and state regulations with controls, simplifying regulatory compliance requirements.

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Manage policies

VComply streamlines the entire policy lifecycle for trading brokerages, ensuring efficient creation and distribution.

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Minimize risk

Stay ahead of any risk with integrated risk management, risk assessments, automated workflows, and notifications.

BUILT-IN FRAMEWORK & CONTROLS

Connect controls and evidence across the framework

Connect internal controls and frameworks within the platform and identify gaps and overlaps across compliance requirements. The pre-built frameworks help streamline your programs and connect controls and evidence across multiple frameworks.

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REPORTS & ANALYTICS

Set real-time visibility into your risk landscape

Empower your trading brokerage with a comprehensive solution that gives real time visibility and transforms risk and compliance data into actionable business intelligence.

With real-time reporting, and advanced analytics of compliance risks, assessment, controls, and cases, our platform supports agile decision-making, addressing challenges, spanning multiple locations and teams.

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ALERS & NOTIFICATIONS

Prevent missed deadlines and violations

Stay on top of compliance by providing automated alerts and calendar notifications on key deadlines, regulatory filing dates, and ongoing compliance tasks ensuring accountability and preventing missed deadlines and violations.

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AUDIT & EVIDENCE

Plan, scope, and report your audit findings

With VComply, easily analyze all your auditable entities, develop an impactful audit plan, assess potential risks and control weaknesses, gather data and evidence, evaluate the effectiveness of controls, and determine the underlying causes of the identified issues.

Summarize findings and generate a comprehensive report including strengths and weaknesses actionable recommendations for improvement.

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VComply is the ideal repository for compliance and regulatory requirements. It facilitates the integration of risk and compliance in a very intuitive way.

Ian W
Chief Risk and Compliance Officer
RELATED RESOURCES

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