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Employee compliance software

Schedule a compliance-focused demo with our team today!

 

DealCloud Employee Compliance software offers a modern, configurable solution that addresses the ever-changing regulatory environment using an integrated solution to monitor, identify, manage, and enforce employee adherence to firm 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.

 

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A better way to manage employee compliance

 

SEC regulations state that firms and employees must declare their personal trading and security interests on a regular annual basis — but managing all this information can be difficult. Marie-Claire Le Houerou, Client Experience Director for Risk and Compliance at Intapp, reveals five ways firms can benefit from a fully automated employee compliance solution.

Employee compliance software features and benefits

Verify and mitigate

Protect your reputation by ensuring employee compliance with firm policy

Streamline approvals

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

Reduce manual work

Eliminate time-consuming data entry and analysis, and mitigate opportunities for human error

Streamline policy alignment

Notify and track employee progress toward completing required attestations

Ensure 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 equity, investment banks, credit firms, venture capital, real estate, and others) to configure their instance to their unique firm policies, restricted and watch lists, and workflows.  Running a report for management on a specific entity, donation type, or employee is intuitive and easy.

 

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 overview

Automated trade pre-clearance

Use brokerage data feeds and restricted lists to provide employees with automated pre-clearance of their trade requests

Proxy access

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

Brokerage data feeds

Manage setup, monitoring and maintenance of brokerage feeds to inform pre-clearance trade approvals in a consistent, easy-to-read format

Attestation and document management

Complete required attestation, firm documents, and disclosures all in one centralized location

Personalized reporting

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

Notifications and reminders

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

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 differentiators

DealCloud is built by financial and professional services veterans who understand the industry, the transactions, and the complexities of the business. They know that generic software platforms built for a traditional sales model will never meet the unique needs of the world’s most sophisticated investors, advisors, lenders, and professionals. Generic or horizontal technology is simply not built for the financial and professional services industry, and therefore cannot flex to meet the unique needs of dealmakers.

 

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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 — employee 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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