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FinWebTech is a Service as a Solution (SAAS) software firm headquartered in Miami, Florida. FinWebTech’s products are geared towards the financial services industry with Catalyst being its premier and flagship product.
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Catalyst Compliance Solution

Compliance

With the increased costs of compliance, increased regulatory risk and the declining bottom line, Financial services firms are constantly seeking ways to improve their operations and compliance through process automation, however many firms don’t have the resources to achieve this daunting idea. FinWebTech’s applications are designed for optimum efficiency meeting the needs of many financial institutions.

Products and Services

FinWebTech provides automated technology solutions for the financial community including Broker Dealers, Registered Investment Advisors, Banks and other financial institutions to enhance processes by increasing efficiency, reducing risk, and creating effective management tools.

About Us

FinWebTech was created based on a visible need in the industry for an automated solution encompassing the entire scope of necessities for the financial community. FinWebTech’s applications are developed based on experienced industry professionals design including C-level Operations and Compliance Officers and ex-regulators from FINRA and the SEC.

About FinWebTech

FinWebTech’s products are geared towards the financial services industry with Catalyst being its premier and flagship product.

Compliance officers today are under increased pressure from regulators. It is impossible for compliance officers to achieve perfection in their compliance program without sufficient resources. Regulators are expecting more from firms, compliance departments and compliance officers with new rules and regulations and the increase in available data. Compliance officers are also fearful of personal liability and are looking for solutions to help minimize their risk with technology based tools. Most compliance departments are receiving paper based reports to be analyzed manually which are inefficient, costly and prone to error.

FinWebTech was started based on the needs of one such Chief Compliance Officer who was in search of a cost effective automated compliance solution to make compliance programs more efficient, robust and minimize overall risk. The Catalyst automated compliance system was developed to provide all firms with access to technology through a low cost but highly effective solution. FinWebTech’s mission is to provide high quality compliance automation tools to firms of all sizes. To do this FinWebTech has priced the application so that small, medium and large firms have access to this much needed technology with low set up and monthly fees.

FinWebTech’s Catalyst Automated Compliance Solution  is unique in that it was designed by an experience compliance officer who took the major components of compliance (Supervision, Monitoring, Risk Management) and developed a system through the eyes of compliance for compliance.

Don Lee, CAMS, MBA

Founder and Chief Executive Officer
Don has over 15 years of experience in the financial services industry. His experience started with the design of a self directed online broker dealer application WallStreet*E which won several accolades from Smart Money and Barons in their respective annual ‘Best of the Web’ rankings. Don’s experience expanded into the design of a Broker Work Station application for Independent Brokers and an Intranet to automate the firm’s back office processes. Don’s experience also encompassed managing the equity and options trading desk and broker dealer operations. Don’s experience expanded into C-level roles as the Chief Operations Officer and Chief Compliance Officer/ AMLCO. Don’s diverse experience between technology and broker dealer operations and compliance has given him the unique talent to marry the two creating a technology solution with real life tools and experience.

Mark Edwards

Chief Technology Officer
With over 30 years of experience developing software, Mark Edwards is skilled in all aspects of software development. Since 1994 he has been focusing on Internet-related work, specializing in back-end systems for ecommerce web sites. Mark’s Internet experience goes back as far as 1982, when he began working with early Internet systems at New York University. Mark has worked with a variety of companies and organizations, including major Investment Banks, Insurance Companies, Media Research firms and New Media agencies. His knowledge includes a thorough understanding of the SQL Server query language, HTML, Javascript, Java, PERL, and C/C++, along with many other languages. His systems experience runs the gamut from small Windows networks to large UNIX servers and IBM Mainframes.

Marlo Fullerton

Marlo Fullerton is a senior software developer with over 25 years of experience developing web applications from back-end to front-end and database design. Project management including analysis, design and testing. She has become skilled in a wide range of programming languages and environments including LAMP, .NET Framework, C/C#, PHP, Python, PERL, Javascript, MS SQL Server, Oracle and MySQL.

Michael Fullerton

With over 25 years of experience, Michael Fullerton is skilled in developing website applications and specializes in back-end systems and processes along with network and system administration. He has experience with various environments and languages including LAMP, Windows Servers, IIS, AS/400, ETL development, C#, ASP, PHP, Bash, Python and Perl. Database administration with various DB servers including MS SQL Server, PostgreSQL, and MySQL.

Services

Many financial institutions want to automate business process through process automation, but don’t know where to start. 

Consulting Services

FinWebTech provides consulting services to financial services firms for business process automation to enhance their operations and compliance programs.

Customized Solutions

FinWebTech can create customized applications for financial institutions to enhance their current systems, or automate processes to maximize efficiency and reduce costs.

White Labeling Services

FinWebTech provides white labeling services for customers to private label the applications with customer’s logos and color backgrounds for added marketing benefits.
Catalyst Compliance Solution DNA Helix

Products

FinWebTech’s products are geared towards the financial services industry with Catalyst being its premier and flagship product.

Catalyst is an Automated Compliance Solution designed to give compliance officers a 360 degree view of their firm’s compliance program while simultaneously identifying and managing risk.

Catalyst provides firms with a complete suite of tools designed to automate transaction monitoring and enhance compliance programs. These tools includes transaction monitoring for AML, Trading, and Risk, Customer Risk Rating, Supervisory Controls and Task Management, Trade Blotter Management, Advisory Rules, Document Repository and Reporting.

Catalyst is a highly customizable application that meets the firm’s unique business and risk. Catalyst can be used in firms that have a centralized supervisory structure where supervision is conducted from the OSJ; or a vertical supervisory structure where supervision is conducted from the field such as branch office managers. Catalyst is an evolving application with new tools and features being added with the goal to be an ‘all in one’ application for the industry.

Catalyst was designed by Compliance for Compliance.

Catalyst Compliance Solution Tree

Catalyst Brochure

Browse our current product brochure for more information on Catalyst. This brochure can be saved as a PDF, emailed, printed and shared.
Download Brochure
Computer Monitor with Catalyst Compliance Solution

Catalyst Tools

Catalyst provides firms with a complete suite of tools designed to automate transaction monitoring and enhance compliance programs.
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Trade Surveillance

Catalyst’s rules engine is customizable to meet the firm’s unique business and risk, to alert on securities transactions that break the firm’s compliance protocol for suitability warranting further review.

Suitability / Reg BI

FINRA’s suitability rule 2111 and Regulation Best Interest require firms to document rationales behind complex transactions and strategies. Catalyst allows firms to create this documentation within the application for easy review and approval.

Advisory Rules

Catalyst provides investment advisory rules to help firms manage their advisory and Regulation Best Interest obligations. These include rules such as reverse churning and conflicts pertaining to commissions in advisory accounts.

Dashboard

Catalyst’s dashboards provide quick and easy view of today’s to do items including tasks and alerts due for compliance users. The C-level dashboard gives an overview of user alert and task completion.

Know Your Customer

Catalyst’s onboarding tool allows firms to document the customer onboarding process to know your customer, and maintain centralized notes. Firms can also upload customer documentation to centralize information for easy access.

AML Surveillance

Catalyst’s rules engine is customizable to meet the firm’s unique business and risk, to alert on money movement transactions, and high risk customers that are AML red flags warranting further review.

Risk Assessment

Catalyst’s risk rating module allows the firm to rate clients easily based on the firm’s risk rating methodology, and translate these customer ratings into to risk-based rules for continuous surveillance for AML.

Audits & Investigations

Catalyst’s audit function allows firms to create and document audits on Know Your Customer reviews, AML trends and adhoc audits as needed. Investigations are documentary modules designed to document escalated suspicious items.

Reporting

Catalyst’s reporting module allows firms to produce reports–available to management, auditors and regulators. Reports include alert resolution, supervisory control audit trails, and trade blotters.

Document Library

Catalyst’s document library allows firms to upload and share documents such as written supervisory procedures, compliance forms and documents across the firm in a centralized location for easy access and updating.

Case Management

Catalyst provides case management tools to document alerts, tasks and trade blotter reviews. Case management includes document uploads, task assignment and more.

Trade Blotter

Catalyst’s trade blotter management allows firms to effectively and efficiently manage their trade blotter reviews in a centralized or vertical supervisory structure with complete profile information including transaction monitoring alerts.

Supervisory Controls

Catalyst’s task management allows firms to create recurring tasks for managers and track task completion. The task management system also allows users to send adhoc tasks from modules within the application.

Data Integration

Catalyst is data agnostic where it can process multiple data feeds and aggregate them in Catalyst under one rule base and one trade blotter review to standardize firms with multiple feeds.

Have a question?

Get more information about FinWebTech and the Catalyst Compliance Solution

+1-202-555-0160office@level.com