Compliance
Compliance Manager: organisation-wide transparency and control
Widening the range of strategies and instrument coverage requires investment management organisations to utilise fast and reliable compliance tools if they are to be sufficiently protected against potential breaches of mandates, regulatory constraints and internal restrictions. As part of SimCorp’s cutting-edge technology front office solution, which includes the Asset Manager and Order Manager functions, the Compliance Manager offers the utmost sophistication when it comes to compliance monitoring and pre-trade restriction checking.
SimCorp’s Front Office suite is a fully integrated part of the SimCorp Dimension enterprise solution for the investment management industry.
Quick and easy pre- and post-trade checking
Developed using state-of-the-art technology, the Compliance Manager is SimCorp Dimension’s tool for comprehensive pre- and post-trade investment restriction monitoring. Entirely based on the SimCorp Dimension single-database platform, the Compliance Manager enables control when monitoring adherence to mandates, regulations and internal restrictions. An advanced, but user-friendly, interface simplifies the construction, assignment and monitoring of any restriction type. With full asset-class coverage and a sophisticated, alert management workflow, the Compliance Manager enables users to achieve a single, transparent system that meets all investment control and monitoring requirements.
User-friendly monitoring as well as rules and alert management
Compliance staff can effortlessly exploit comprehensive pre- and post-trade investment restriction monitoring, due to flexibility of user-friendly, customisable views. Even more importantly, given the increasing complexity of investment instruments and regulatory restrictions, the Compliance Manager allows all the necessary limitations and constrictions to be easily applied and to be monitored in a single screen. For further convenience, alerts can be simply categorised, assigned and re-prioritised.
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Learn how SimCorp Dimension can help you enable growth while satisfying industry regulations.
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