How the work actually happens

Compliance & RegTech

Trade surveillance, communications archiving, marketing review, code of ethics, Reg BI documentation.

How the work gets done

Derived automation mix

58% assisted · 42% automated

Automated — runs unattendedAssisted — software drafts, human approves

Trade, comms, marketing.

Trade & personal-trading surveillance
automateddaily
Personal-trade pre-clearance, restricted-list checks, and post-trade scans all roll up to one analyst queue.
Communications archiving & lexicon flagging
automateddaily
Email, chat, and voice captured with lexicon flags routed to reviewers; retention satisfies SEC 17a-4.

Rules + ML signals.

Marketing-rule review
assistedweekly
Performance claims, testimonials, and endorsements queue for review with disclosures matched to the asset.

Analyst reviews, escalation.

Analyst investigation & disposition
assistedweekly
Each flag has a one-screen investigation packet with linked evidence; disposition logged with reasoning.

Filings, attestations, regulator reports.

Reg BI / fiduciary documentation
assistedevent
Each recommendation carries a contemporaneous best-interest memo, linked to the supporting plan analysis.

Immutable log, evidence package.

Audit trail & exam evidence packs
automatedevent
One click produces a date-bounded evidence package with comms, trades, attestations, and dispositions.

Practice & explore

Drills, quizzes, vendor matrix, industry map, and reads — all in one place.