Employee Conflict Management

Software Solutions for Employee Conflict Management

Employee conflict management, especially regarding personal trading, is a key responsibility of a firm's compliance management staff. The code of ethics guidelines require that employee conflict management be a top priority to identify potential employee conflicts and prevent its future occurrence.

Investment advisors in particular count on employee conflict management solutions to pre-clear all employee trades and prevent employees from personal trading in securities that the firm is analyzing or recommending. This also applies to broker-dealers who could be subject to potential employee conflicts regarding firm securities or business processes such as banking or research.

Compliance11 Supervisory Suite makes employee conflict management much easier to implement. Our compliance software solutions enable firms to automate the pre-approval of employee trades against restricted and watch lists to prevent employee conflicts. The software's comprehensive reporting tools allows the employee conflict management team to quickly identify personal trading employee conflicts by employee, security and date.

Thanks to employee conflict management software solutions, your firm can identify employee conflicts before it happens; insuring that personal trading rules and regulations are consistently adhered to, inhibiting the occurrence of future employee conflicts.

For more information on our employee conflict management software solutions email us at info@Compliance11.com.