eComms Surveillance Software

Manage eComms surveillance risk with our ComplianceAlpha^® RegTech platform

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ComplianceAlpha RegTech Solutions
eComms Surveillance Software

Identify potential high-risk activities and behaviors with our eComms Surveillance RegTech Solution

Employees' increasing use of electronic platforms like Microsoft Teams, Zoom, SMS, WhatsApp, and WeChat can lead to increased or undetected conduct risks for your firm. At the same time, regulators around the globe are scrutinizing how firms are managing these risks. Our eComms Surveillance Solution can help your firm detect and mitigate these risks effectively and efficiently to protect your business.

Key features

Increase the effectiveness of your eComms surveillance operations while reducing the cost of compliance. Our eComms Surveillance RegTech Solution provides a single view of potential behavior risks across your firm. Key features and benefits include:

Provides a single view of risks

Including:

Insider trading / MNPI
Bribery
Fraud
Conflicts
Insider risk
Customer complaints
Market manipulation across asset classes

Maps employees’ behaviors, activities, and relationships to uncover high-risk behavior

Our patented behavioral algorithms define context and isolate conversations of interest to uncover how your employees connect, form groups, and conduct business. Machine learning technology combined with natural language processing (NLP) then maps your employees’ behaviors, activities, and relationships — both internally and externally — to help you zoom in on potential conduct risks.

70+ surveillance policies for quick and easy deployment

Our out-of-the-box policy library includes more than 70 surveillance policies and models to help you hit the ground running. Use the policies as-is, customize them, or create your own.

Reduced false positives for more accurate, meaningful results

Machine learning technology dramatically reduces false positives by constantly teaching itself using your firm’s own data – automatically and unsupervised. This means your firm can manage the technology and analyze the results without the help of data scientists or a third-party vendor.

Sophisticated analytics for fast investigations and defensibility

Quickly escalate and investigate items of interest (IOI). All activities and messages are recorded in the comprehensive audit trail to enable easy reporting for internal audits, regulators, clients, and investors.

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Integrates eComms, trade, mobile, and voice data for holistic oversight of behavioral risk

Our solution is an integrated, machine learning-based surveillance and investigations platform that provides global buy- and sell-side firms with a complete view of potential high-risk activities and behavior across their organization.