Monitoring & Compliance
Mitigate conduct risks and confidently comply with global regulations around communications capture, compliance assurance, and record keeping and monitoring while keeping overhead costs low.
Monitor
Continuously monitor trading activities and communications in real-time to detect potential risks and breaches.
Detect
Identify and be notified about potential compliance violations in real-time so you can take timely action.
Enforce
Implement automated compliance workflows and generate alerts for potential breaches to enforce regulatory requirements and internal policies.
Adapt to changing regulations and record every interaction. Let’s talk! >>
Monitoring & Compliance
The world of financial services has brought along an increasing amount of federal oversight, especially in telephone conversation monitoring and archiving.
These regulations bring along the need for companies to implement recording, monitoring, and compliance technologies that hold off potential government regulation of the issue, aid in dispute resolution, limit legal liability, and effectively store and analyze all communication on the trading floors.
To effectively meet current and future regulations regarding voice recording, retention, and retrieval in an ever-evolving regulatory landscape, companies need an efficient, secure, and centralized solution for all regulatory compliance needs.
Wilmac Technologies offers these recording, retention, and retrieval solutions while working to facilitate business critical operations on multiple channels in a way that meets your financial compliance needs.
In the long run, Wilmac Technologies will help you achieve an operating environment that protects consumers and the firm’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 and Compliance solutions.
Benefits of adopting a Monitoring & Compliance solution
Compliance with regulatory requirements
Meet regulatory requirements by actively monitoring and enforcing compliance with industry-specific regulations, such as Dodd-Frank, MiFID II & MiFIR, MAR, and more.
Risk mitigation
By continuously monitoring trading activities and communications, identify and mitigate potential risks and protect your organization from financial and reputational harm.
Enhanced operational efficiency
Automate compliance workflows and streamline processes to reduce manual tasks and enable faster response times to compliance-related tasks and incidents.
Proactive monitoring and alerts
Generate real-time alerts and notifications for potential compliance breaches, so you can take timely action and mitigate risks before they escalate.
Data analysis and insights
Gain valuable insights into trading behavior, market trends, and compliance performance to leverage for strategic decision-making, risk assessment, and process optimization.
Reputation and trust
Enhance your reputation and build trust with clients, investors, and regulatory bodies by responding to any inquiry or investigation efficiently.
Key Features of Monitoring & Compliance Solutions
Alert and Notification System
Compliance Workflow Management
Regulatory Reporting
Communication Capture and Monitoring
Audit Trail and Record Keeping
Trade Surveillance
Data Analysis and Visualization
Holistic Monitoring & Compliance Products
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Contact
Rochester Headquarters
100 Chestnut St, Suite 1004
Rochester, NY 14604
New York City
345 7th Ave, Ste. 404,
New York, NY 10001
Toronto
5955 Airport Rd, Ste. 140,
Mississauga, Ontario L4V 1R9