iPM Compliance proactively monitors pre and post-trade compliance as well as operational risk issues in real-time and automatically alerts compliance officers when a compliance issue requires additional oversight or special handling. iPM compliance also provides sophisticated data management capabilities to ensure accurate and timely data for compliance officers.
Guided Workflow, a key component of iPM Compliance, allows firms to document and track operational procedures for compliance, trading, and back office events. When Guided Workflow is implemented, all procedures and processes are time-stamped by user and become part of the system’s audit trail, which can be accessed rapidly to demonstrate complete transparency of the investment process. iPM Compliance also provides expanded capabilities for custom rule creation with the ability to back-test rules.