Compliance Services

Compliance Programs and Compliance Products

Compliance11™ has developed an integrated suite of easy-to-implement and easy-to-use compliance services. The Compliance11 Supervisory Suite is a hosted, on-demand software application with an intuitive interface that helps your firm automate and manage its compliance programs. The software provides a simple and cost-effective platform for regulatory compliance personnel and senior corporate compliance management to enter, review and analyze real-time employee data. A centralized repository of data and comprehensive reporting ease the burden of proof when facilitating financial compliance audit reviews and regulatory examinations as part of the compliance program. Our suite of fully integrated compliance products enables firms to manage their compliance programs within four regulatory compliance areas. These areas, as mandated by the SEC and FINRA include:

Manage Compliance Programs with Compliance11's Supervisory Suite

Personal Trading
Automates personal trading pre-clearance, reconciliation, conflict identification and exception resolution. Learn More Affirmations & Disclosures
Captures employee policy affirmations and conflict of interest information disclosures.
Learn More Gift Management
Tracks corporate gifts given and received across the entire organization. Learn More
  Case Management
Manages key compliance issues and tasks from identification to resolution. Learn More
 

Compliance Services Tailored to Meet Your Needs

Compliance11's Supervisory Suite was designed to meet the needs of both financial and corporate compliance professionals. Our suite of fully integrated compliance products enables firms to manage their compliance programs within the above four regulatory compliance areas. Compliance11's compliance services have been proven to systematically solve compliance issues while maximizing value for firms.