A comprehensive risk management platform designed for financial institutions. Features include operational risk management, risk and control self-assessment (RCSA), key risk indicators (KRIs), loss data management, scenario analysis, and regulatory compliance management specifically for fund managers.
Comprehensive systems that identify, assess, and manage various types of enterprise risks, including operational, reputational, strategic, and financial risks across the organization.
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Multi-source data ingestion Ability to import data from multiple structured and unstructured sources. |
RiskSpotlight Enterprise RM advertises multi-source risk data ingestion and supports combining structured loss data, RCSA, and KRI data inputs. | |
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Real-time data feeds Supports real-time ingestion and updating of risk-related data. |
No information available | |
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API support Supports integration via APIs with third-party and internal systems. |
API integrations are referenced for connecting to various data sources and regulatory systems in product documentation. | |
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Batch data processing Supports scheduled, bulk updates and ingestion of data. |
No information available | |
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Standard file support Ability to import/export data in common formats (CSV, XLS, XML, JSON). |
Platform claims support to import/export in CSV, XLS, and JSON, enabling standard file format interoperability. | |
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Data mapping and transformation Tools for mapping source data to the platform’s schema and transforming formats. |
Data mapping features (RCSA/KRI structuring) described in official solution overview. | |
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Data validation Automatically checks data for integrity and consistency upon ingestion. |
Product notes automated integrity checks and validations on data entry/load for RCSA and loss event records. | |
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ETL capabilities Supports extract, transform, load pipelines for managing data flows. |
ETL processes are supported; RiskSpotlight describes automated risk data pipelines for ingesting and structuring risk events. | |
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Cloud and on-prem connectivity Integrates with both cloud and on-premise systems. |
Documentation lists cloud and on-premise deployment options and integration capabilities. | |
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Scalability of data ingestion The maximum daily volume of data records that can be ingested. |
No information available |
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Market risk calculation Ability to model and calculate exposure to market risks (e.g., VaR, stress tests). |
No information available | |
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Credit risk assessment Quantifies and manages risk exposure to counterparties. |
Explicitly manages operational risks and KRI frameworks which entail credit risk exposure tracking. | |
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Liquidity risk analytics Models fund ability to meet obligations and manage liquidity shocks. |
No information available | |
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Operational risk assessment Assesses risks from operational failures, including process, staff or system. |
Operational risk assessment is a central component (per market positioning and solution page). | |
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Risk scenario analysis Ability to run simulations for bespoke risk events. |
Scenario analysis tools and custom event simulations are a highlighted platform capability. | |
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Custom risk factor modeling Users can define and implement custom risk factors and models. |
Users can define KRIs, risks, controls, and custom risk scenarios/models in the platform. | |
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Model validation tools Provides tools to validate and backtest risk models. |
Model performance monitoring and validation tooling referenced as part of risk scenario calibration and RCSA/KRI validation. | |
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Historical risk simulation Allows replay of historical events for impact analysis. |
No information available | |
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Risk aggregation (across portfolios) Aggregates risk metrics at multiple portfolio or fund levels. |
No information available | |
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Risk calculation speed The average time taken to complete a full risk calculation cycle. |
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Regulatory rules library Comprehensive library of rules for key jurisdictions (e.g., SEC, ESMA, FCA). |
Regulatory libraries for global banking jurisdictions and fund management included, per compliance solution overview. | |
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Automated compliance monitoring Automatically monitors transactions and holdings for breaches. |
Platform provides continuous monitoring of compliance obligations and breaches (RCSA-driven compliance controls). | |
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Pre-trade compliance checks Detects potential compliance breaches before trades are executed. |
No information available | |
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Audit trails Captures all user and system actions for historical review. |
Audit trails and change histories for risk/control data are specifically called out in features. | |
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Compliance workflow automation Manages approval, exception, and escalation workflows digitally. |
Review/approval of risk records and compliance exceptions managed via workflow automation. | |
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Documentation management Stores, manages, and retrieves regulatory documents and disclosures. |
Stores regulatory reports and supporting documentation—part of compliance module. | |
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Automated regulatory reporting Generates and submits reports as per local and global requirements. |
The platform automatically generates and files regulatory reports for financial institutions. | |
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Regulatory change tracking Monitors and notifies on relevant regulatory changes. |
Monitors regulatory landscape, notifies on regulatory change—detailed on product site as a fund compliance feature. | |
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Breach alerting and notification Sends real-time alerts for any compliance breaches. |
No information available | |
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Number of supported jurisdictions Count of regulatory regions (countries) natively supported. |
No information available |
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Customizable dashboards Dashboards can be customized per user or role, with drag-and-drop widgets. |
Custom dashboards for KRIs, RCSAs, and scenario analytics referenced in marketing and product screenshots. | |
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Real-time reporting Reports reflect the latest available data and calculations. |
No information available | |
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Scheduled report generation Ability to schedule delivery of regular reports. |
Enables scheduled periodic risk/control/compliance reporting. | |
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Export to multiple formats Ability to export reports (PDF, Excel, HTML, CSV). |
Exports reports and data in XLS, PDF, CSV and other formats as shown in user guide. | |
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Data visualization tools Offers graphs, heatmaps, and advanced visualization features. |
Advanced visualization tools/charts/heatmaps highlighted in screenshots. | |
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Ad-hoc reporting Users can create custom reports without coding. |
Supports creation of custom, user-generated reports without coding. | |
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Automated distribution System can automatically distribute reports to stakeholders. |
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Drill-down capabilities Users can drill down into data for detailed analysis. |
Drill-down from dashboards to underlying RCSA/KRI/loss-event data is illustrated in product demos. | |
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Interactive visualization speed Average response time for rendering custom dashboard views. |
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Concurrent users supported for reports Maximum number of users that can access reports simultaneously. |
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Role-based access control Assigns data and function permissions by user roles. |
Role-based permissions structure is available in user management section. | |
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Single Sign-On (SSO) Integrates with corporate identity providers for access. |
No information available | |
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Multi-factor authentication Enforces additional security checks for user logins. |
Multi-factor authentication is referenced in the enterprise security datasheet. | |
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Data encryption (in transit and at rest) Encrypts sensitive data during transfer and storage. |
Data encrypted both in-transit and at-rest. Security/compliance documentation available on request. | |
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Comprehensive audit logging Maintains detailed logs for all data access and changes. |
Comprehensive activity and data access logs (audit event tracking) are standard. | |
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User provisioning and de-provisioning Automates the onboarding and offboarding of users. |
User access provisioning/deprovisioning can be managed via admin controls. | |
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Granular permission settings Fine-tuned data and function-level access configuration. |
Granular permission settings available for data, workflow, and report access. | |
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Data masking and anonymization Masks sensitive data fields for select users or roles. |
No information available | |
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Incident & breach detection Monitors and alerts on potential security incidents. |
No information available | |
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Maximum concurrent user sessions Maximum user sessions that are allowed simultaneously. |
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Custom workflow builder Visually design and automate multi-step processes. |
Product supports workflow builder tools for risk and compliance processes. | |
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Automated task assignment Routes tasks to responsible users based on defined criteria. |
Tasks, escalations and reminders related to risk reviews are auto-assigned to responsible users. | |
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Approval tracking Tracks approvals, signatures, and acknowledgments digitally. |
Digital tracking of approvals and acknowledgments is a part of the workflow modules. | |
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Notification and escalation rules Automated alerts and escalation when timelines are missed. |
Automated notifications/escalations for tasks, breaches, and overdue actions are included in platform. | |
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Exception management Tracks and manages process exceptions and their resolutions. |
No information available | |
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Integration with communication tools Integrates with email, chat, or ticketing for notifications. |
No information available | |
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SLA tracking Measures and reports service-level agreement adherence. |
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Parallel processing of workflows Supports simultaneous execution of multiple workflows. |
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Number of customizable workflows Maximum number of custom workflows supported. |
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Workflow execution speed Average time to execute a typical workflow. |
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Comprehensive activity logs Captures all system and user activities for review. |
Extensive system and user activity logging, as shown in the platform audit section. | |
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Automated exception logging Automatically records exceptions and unusual events. |
No information available | |
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Change management tracking Monitors changes to data, rules, and configurations. |
Change audits on risk, control, and configuration data are documented and accessible. | |
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Periodic review scheduler Automates scheduling and reminders for audits and reviews. |
No information available | |
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Forensics and drill-back tools Allows detailed reconstruction and investigation of events. |
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Automated controls testing Regularly tests control effectiveness and documents results. |
No information available | |
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Exception alerting Notifies users of irregular events or failed checks. |
Exception alerts for risk breach and compliance irregularities are described in notification settings. | |
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Audit report generation Automatically compiles and formats audit-ready reports. |
No information available | |
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Retention period for logs Duration for which audit logs are retained in the system. |
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Concurrent audit users supported Maximum number of auditors that can work simultaneously. |
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Horizontal scalability Easily scales out via additional computing resources. |
Solution hosted on scalable infrastructure; horizontal scalability referenced in technical guide. | |
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Load balancing Distributes system load across multiple servers or nodes. |
Enterprise deployment option supports load balancing, per architecture documentation. | |
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Cloud-native architecture Designed for scalable cloud or hybrid deployments. |
Cloud-native version available for SaaS clients (feature page and deployment options). | |
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High-availability configuration Supports failover and redundancy for resilience. |
High-availability options described for business-critical deployments (disaster recovery capabilities mentioned). | |
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Disaster recovery options Provides built-in DR and data backup capabilities. |
Disaster recovery procedures and backup/restore are described in IT security whitepaper. | |
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Concurrent users supported Maximum simultaneous users during peak usage. |
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Data throughput capacity Maximum volume of data processed per second. |
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Uptime SLA Guaranteed platform availability over time. |
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Average page load time Typical time for loading key dashboards or modules. |
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Processing capacity per fund Number of funds/entities supported without degradation. |
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Intuitive user interface Interface is easy to navigate and learn. |
UI is marketed as simple and intuitive; product reviews confirm usability advantage. | |
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Mobile access Accessible on smartphones and tablets. |
No information available | |
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Contextual help Built-in help, tooltips, and guided tours. |
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Personalized homepages Users can set and modify their landing screens. |
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Internationalization/localization Supports multiple languages and regional formats. |
No information available | |
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Accessibility features Compliant with accessibility standards (e.g., WCAG). |
WCAG-compliant platform; accessibility detailed in product FAQ. | |
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Custom notifications Users can configure notification settings. |
Users can configure custom notifications for events, risks, and compliance tasks. | |
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Keyboard and voice navigation Supports keyboard shortcuts and/or voice commands. |
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Average number of clicks to complete workflow Measures usability and process optimization. |
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Time to proficiency Average time required for new users to become proficient. |
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24/7 technical support Vendor offers around-the-clock support services. |
24/7 technical and customer support described on service/support page and SLA doc. | |
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Dedicated account manager Customers are assigned a specific contact from the vendor. |
Dedicated account manager included in enterprise package. | |
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Proactive system monitoring Vendor monitors health and performance of client deployments. |
No information available | |
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Automatic software updates Platform receives regular, automatic patching and feature updates. |
Automatic updates for cloud/SaaS clients confirmed in managed service documentation. | |
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Comprehensive documentation Up-to-date guides for administration, user, and integration support. |
Comprehensive, up-to-date administration, integration, and user documentation provided online. | |
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User community and forums Access to community knowledge and peer support. |
User forums and peer community referenced on support portal. | |
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Onboarding/training services Vendor offers user onboarding and ongoing training options. |
Onboarding and ongoing training services are available as part of implementation package. | |
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Service Level Agreement (SLA) metrics Key metrics defined in the support contract. |
SLAs and support metrics are detailed in support agreement. | |
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Average issue resolution time Mean time to resolve client-reported production issues. |
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Frequency of major platform updates How often major feature or version updates are released. |
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