Employee TradeSphere

Offered as web-based or client-side installed solution, this module includes:

  • Highest IT security levels based on SSAE16 audit standards,
  • Customized to do list and task tracking for each employee,
  • Master view of compliance tasks and cases for the compliance officer,
  • Pre-trade clearance for all security types and sub-types,
  • Ongoing trade surveillance vs. trading restrictions,
  • Unusual trading patterns alerting,
  • Pre-clearance and reporting of gifts, entertainment and outside business activities,
  • Dynamic forms and documents with rules and alerts based on answers, and
  • Full audit trails,
  • Multiple restricted lists,
  • Global security master,
  • Automated statement tracking,
  • Manual data entry service for paper statements,
  • Case management,
  • Reports library,
  • Real time intra-day trading desk connections,
  • Client configurable workflow.

Support:

Financial Tracking Technologies LLC
1111 East Putnam Ave, Suite 304
Riverside, CT 06878
203.340.2356

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