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.


Continuously monitor trading activities and communications in real-time to detect potential risks and breaches.


Identify and be notified about potential compliance violations in real-time so you can take timely action.


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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