FIS Trading Compliance Manager provides a comprehensive, web-based surveillance solution specifically tailored for sell-side firms. It is engineered to proactively identify and alert users to potential trading violations occurring within the marketplace, thereby assisting in robust supervisory controls and facilitating detailed management reporting. The system offers a complete, end-to-end view into an order's entire lifecycle, leveraging a powerful alert engine supported by extensive market data and integrated client data warehouses. This integrated approach enables firms to more efficiently manage critical daily reviews, conduct thorough post-trade analysis, ensure compliance with regulations like RegNMS, and maintain overall trading compliance and supervision. By streamlining these processes, the solution helps mitigate reputational risk and allows firms to maintain a strong focus on profitability.

Features & Benefits

• Multi-Asset, Web-Based Surveillance
  • Offers a flexible, comprehensive solution for monitoring various asset classes from any web-enabled device.
• Risk Mitigation & Profitability Focus
  • Proactively identifies potential violations to control reputational risk, allowing firms to prioritize profitability.
• Enhanced Supervisory Controls
  • Assists in maintaining robust oversight of trading activities and ensuring adherence to regulatory requirements.
• Comprehensive Order Lifecycle View
  • Provides an end-to-end perspective on orders, supported by alerts and extensive market and client data.
• Improved Data Quality & Cost Reduction
  • Utilizes data warehousing to enhance execution data quality while simultaneously reducing storage-related costs.
• Secure Access Control
  • Implements a permission-based system to securely manage access to sensitive information, ensuring data integrity and confidentiality.
• Efficient Compliance Management
  • Streamlines daily reviews, post-trade analysis, RegNMS compliance, and general trading compliance and supervision.