Employee compliance software

DealCloud Employee Compliance software offers a modern, configurable solution that addresses the ever-changing regulatory environment. This end-to-end solution monitors, manages, and enforces employee adherence to firm code-of-ethics policies in a centralized location.

The software gives compliance officers a holistic view of employees’ personal investments, trading, gifts, outside activities, and more, helping them act quickly to mitigate risk and protect against regulatory fines and reputational damage.

Purpose built and configurable to your needs

Verify and mitigate

Avoid employee conflicts of interest and align to firm code-of-ethics policy

Streamline approvals

Bolster confidence in personal trading with timely trade request approvals aligned to business policies

Reduce manual work

Eliminate time-consuming data entry and analysis, with robust reporting and analytics

Streamline policy alignment

Notify and track employee progress toward completing required attestations

Ensure personal trading compliance

Seamlessly review, update,
and complete required documentation

Built to simplify your firm’s employee compliance activities


Tracking employee personal trading compliance can be a burdensome, time-consuming, and often a highly manual process.

DealCloud Employee Compliance provides both compliance officers and firm employees with a modern, configurable, easy-to-use, system that can grow with the changing regulatory environment.

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Configurable workflows and personalized dashboards


DealCloud Employee Compliance helps financial services firms (including private equityinvestment bankscredit firmsventure capitalreal estate, and others) configure their instance to their unique firm policies. Move away from outdated, limited software that can’t address your firms unique code-of-ethics, attestation, and personal trading policies. Seamlessly run reports for management based on their specific requests, such as entity, donation type, or group of employees.

Configuration and personalization are key components of this purpose-built DealCloud Employee Compliance solution: We make it easy to manage compliance in ways tailored to your firm.

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Employee compliance software that works the way you need it to

Automated trade pre-clearance

Use the firms watch and restricted lists to automtically pre-clear employee trade requests

Notifications and reminders

Streamline documentation and trade pre-clearance, and know when items are in your queue for review and approval

Personalized reporting

Filter and configure data as broadly or specifically as needed for requested reports or audits


Attestation and document management

Configure unique attestation, firm, and disclosure documents for completion in one centralized location

Statement tracking

Automate the digitization of bank statements, saving employees time and avoiding manual errors

Proxy access

Let users specify a spouse, financial planner, or personal broker for direct access to request trade approvals

Contact our team of experienced and skilled implementation specialists to get started, or request to schedule a demo of our employee compliance solution.


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DealCloud employee compliance software helps your firm establish, monitor, maintain, and present comprehensive, normalized data that’s easy to review and act upon. Our solution centralizes all components of employee compliance — personal trade monitoring, outside activities, political donation compliance, crypto clearance, and more — with a flexible, configurable environment to fit your specific firm needs.


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