compliance

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Catalyst Automated Compliance Solution

The Catalyst automated compliance solution is the flagship application developed for Broker Dealers and Registered Investment Advisors. Catalyst has all of the elements to enhance a firm’s compliance program through its 360 degree view of the organization including Supervisory Management Tools, Risk Management and Monitoring Tools, Trade Blotter Management, Trade Surveillance, AML Surveillance, AML Center, Customer KYC Center, CRM and Document Libraries to name a few. Compliance Manager will enhance the financial institutions compliance program by providing compliance professionals with the tools required to effectively manage their compliance program.

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Catalyst Modules:

Compliance Dashboard – Quick and easy overall reviews of your day’s compliance with Alerts, Tasks and Key Firm Risk Indicators (KRSs)

Risk Assessment, Monitoring and Scoring This module provides risk ranking solutions for customers AML and transactional patterns.

Supervisory Task Manager – provides reminders to supervisors to complete tasks; documentation and logs of tasks completed; escalation and case processing.

Trade Surveillance – provides automated trade surveillance tools for customer investment suitability. This provides compliance officers with suitability tools as well as risk management tools identifying customers with higher risk transactional patterns.

AML Surveillance – provides automated AML surveillance tools for money and securities movement throughout the firm.

Trade Blotter Management – Allows the firm to manage their daily trade blotter reviews electronically. 

Suitability (FINRA 2111) – Workflow and processes designed to document and capture all suitability reports as required by FINRA’s suitability rule 2111

Anti-Money Laundering (AML)  AML tools designed to review, document, escalate and process suspicious activities. The AML module is linked with the firm’s risk modules to provide firms with the ability to conduct risk based reviews.

Know Your Customer (KYC) – KYC modules complete with the customer’s profile, background information gathered on the client and other notable information for the file

Customer Relationship Management (CRM) – Note features on the Client center allowing firms to document compliance related items, operations related items, phone calls and any other notable item pertaining to clients. This CRM also maintains a library of documents, alerts and other items on the client in a centralized location

Document Library – provides firms with a centralized location for compliance manuals, compliance forms, documentation, training and other pertinent documents that are relevant to employees.

 

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