Broker-dealers
Broker-dealer compliance monitoring
You already run tools for onboarding, communications surveillance and personal account dealing. What you lack is one place that shows which obligation each control meets, whether it was tested, and what the test found.
What gets in your way
- Conduct obligations are checked across several systems, and the proof of each check stays in the system that ran it.
- Approvals happen in email and chat, so the approval chain has to be reconstructed for an audit.
- Exceptions found in one tool are tracked in another, or not at all.
The modules that matter most
Registers
A control library linked to requirements, and one findings tracker for every source.
Monitoring
Tests on schedule, with owners, reviewers, results and escalation.
Evidence
Exports from your other systems filed once, hashed and linked to the test they support.
Compendium
The broker-dealer activity rulebook alongside the compulsory rulebooks.
A broker-dealer's quarter in Kompendra
Kompendra sits above the point solutions you already run. It does not replace them.
Controls. Your control library lists each control with its type, frequency and owner, and links it to the requirements and policies it serves. Controls run inside other systems are recorded here too, marked as automated where they are.
Testing. Each quarter, the owner of a surveillance control tests a sample of alerts and their dispositions, following the methodology in the plan. They attach the export from the surveillance tool as evidence. The vault hashes it and links it to the test.
Exceptions. The test finds two alerts closed without a recorded rationale. The owner records a result of pass with observations and raises a finding with a medium severity and an action. The reviewer approves the closure once the rationale is added and evidenced.
Approvals. Every approval runs through the workflow you configured for that register. The approval chain is stored with the record and printed on every PDF export.
Feeds from point solutions, such as alert counts and closure times as indicators, are on the roadmap and not available today.