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Conducting Effective Compliance Investigations | Shield

Conducting compliance investigations remotely doesn't have to be complicated. Read this file to learn how to ethically investigate remotely with Shield. We ensure adequate capture of transactions and communications related data, addressing multiple regulations. Source:https://bit.ly/33pwSZU

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Conducting Effective Compliance Investigations | Shield

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  1. COMPLIANCE INVESTIGATIONS SHIELD The eDiscovery & RecordKeeping Platform for regulated firms. The Shield platform collects massive amounts of structured and unstructured data (voice, eComms, trade, market data and more) as required for recordkeeping under regulatory rules.

  2. Once captured and enriched your analysts and compliance will get a clear and complete view of the electronic communications and overall financial data and use it for their compliance investigations and ongoing monitoring. Compliance Hub Ensure adequate capture of transactions & communications related data, addressing multiple regulations. Reconciliation of Data Structured and Unstructured with advanced data normalization and enrichment process. Advanced Search Capabilities Dedicated UX to drive efficiency for the compliance officer Financial Context Recognition (FCR) Automatically extract financial context from each conversation

  3. Today, data is spread across multiple silos, each managed separately with its own data owner, quality, integrity, and accessibility. But the Regulatory obligations on the Compliance team organizations and COs to search through the entire datasets in order to conduct their risk analysis, monitoring and investigation. Manage your Data. Get full control of your data regardless of its source, type or format while maintaining its source, quality, integrity and privacy. Reduce Risk. Constantly normalize, enrich and correlate data to link the dispreads datasets into financial understanding and gain the full picture of the conduct. Increase Visibility. Gain deep visibility into voice, internal and external eComms, trade, orders, execution, market data as well as CRM data, as part of the investigation process. Become Lightning Fast. Reduce investigation time. For more information about eComms Surveillance visit our website Shield. Source: https://www.shieldfc.com

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