FIS® Compliance Suite provides a comprehensive, scalable platform designed to address a multitude of complex regulatory challenges faced by financial institutions. This advanced solution integrates artificial intelligence and machine learning capabilities to proactively help organizations stay ahead of evolving regulations, offering full transparency into their risk landscape for more informed and confident decision-making. It is particularly adept at solving critical issues such as anti-money laundering (AML) and communications surveillance. The suite offers one of the industry's largest and most configurable alert libraries, enabling automated regulatory risk detection to enhance operational efficiency. It empowers firms to mitigate potential compliance issues before they escalate into significant problems and provides robust tools for managing workflows and documenting evidence of review for auditors and regulators. The modular design allows it to address specific regulatory requirements, such as consistently meeting SEC Regulation Best Interest (Reg BI) obligations across pre-sale, point-of-sale, and post-sale stages, and offers multi-asset class trade surveillance, regulatory reporting, and supervisory controls through components like FIS Trading Compliance Manager.

Features & Benefits

• Comprehensive Regulatory Risk Management
  • Addresses a wide array of regulatory challenges, including anti-money laundering and communications surveillance.
• AI and Machine Learning Integration
  • Leverages advanced artificial intelligence and machine learning to proactively stay ahead of regulations and enhance risk detection.
• Extensive Alert Library
  • Features one of the largest and most configurable alert libraries available out-of-the-box.
• Automated Risk Detection
  • Automates the detection of regulatory risks to significantly improve operational efficiency.
• Proactive Issue Mitigation
  • Enables firms to mitigate potential regulatory compliance issues before they escalate into significant problems.
• Workflow and Documentation Management
  • Manages compliance workflows and provides robust tools for documenting evidence of review for auditors and regulators.
• Modular Compliance Solutions
  • Offers specialized modules to meet specific regulatory requirements, such as SEC Regulation Best Interest (Reg BI) obligations and multi-asset class trade surveillance, regulatory reporting, and supervisory controls.