Compliance with Regulatory Requirements
Actively monitor and enforce compliance with industry-specific regulations — Dodd-Frank, MiFID II & MiFIR, MAR, and more.
Communications Compliance
Monitoring & Compliance
Mitigate risks and confidently comply with global regulations around communications capture, compliance assurance, and record keeping — while minimizing overhead costs.
The Solution
Meet every regulation with confidence.
The world of financial services has brought along an increasing amount of federal oversight — especially in telephone conversation monitoring and archiving. These regulations bring the need for companies to implement recording, monitoring, and compliance technologies that hold off potential government regulation, aid in dispute resolution, limit legal liability, and effectively store and analyze all communication on the trading floor.
To effectively meet current and future regulations around voice recording, retention, and retrieval, companies need an efficient, secure, and centralized solution for all regulatory compliance needs.
We offer recording, retention, and retrieval solutions while working to facilitate business-critical operations on multiple channels — so you can meet your financial compliance obligations without disrupting the trading floor.
We're here to help you protect consumers and your organization's reputation more efficiently. You'll be able to improve operational visibility, minimize fraud and risk, and save valuable time, money, and resources with our Monitoring & Compliance solutions.
Benefits
Benefits of our Monitoring & Compliance solution.
Risk Mitigation
Continuously monitor trading activities and communications to identify and mitigate risks — protecting your organization from financial and reputational harm.
Enhanced Operational Efficiency
Automate compliance workflows and streamline processes to reduce manual tasks and speed up response to compliance-related incidents.
Proactive Monitoring & Alerts
Real-time alerts and notifications for potential compliance breaches — so you can take action and mitigate risks before they escalate.
Data Analysis & Insights
Gain visibility into trading behavior, market trends, and compliance performance — the inputs you need for strategic decisions, risk assessment, and process optimization.
Reputation & Trust
Build trust with clients, investors, and regulatory bodies by responding to any inquiry or investigation efficiently.
Wilmac partners with the industry-leading compliance platforms trusted by trading floors worldwide — NiCE NTR-X and Verint Financial Compliance. See Our Compliance Partners →
Key Features
Key features of a Monitoring & Compliance solution.
The building blocks of a modern trading-floor compliance stack — surveillance, workflow, and reporting in one platform.
Alert & Notification System
Real-time notifications route the right alerts to the right compliance officers the moment a threshold is crossed.
Compliance Workflow Management
Structured case management moves every review from flag to resolution with a full audit trail behind it.
Regulatory Reporting
Prebuilt reports for Dodd-Frank, MiFID II, MAR, and more mean regulator requests get answered in minutes, not weeks.
Communication Capture & Monitoring
Voice, chat, video, and turret conversations captured continuously across every regulated channel your desk uses.
Audit Trail & Record Keeping
Tamper-proof recordings and immutable logs give you the evidence you need for internal investigations and external audits.
Trade Surveillance
AI-assisted surveillance scans conversations for market abuse, insider risk, and policy breaches at the speed of the floor.
Data Analysis & Visualization
Dashboards that turn compliance data into operational insight — trends, hotspots, and coverage gaps at a glance.
Ready to Modernize?
Protect your organization. Simplify compliance.
Let's talk about how the right Monitoring & Compliance strategy can reduce your risk, cut manual work, and keep your trading floor audit-ready.