Allows financial and pension organizations to document, manage, and monitor regulatory requirements, policies, controls, and compliance processes in one platform. Supports audits and compliance reporting.
Systems that continuously monitor operations against regulatory requirements and internal policies, providing alerts for potential compliance issues and maintaining audit trails of compliance activities.
More Compliance Monitoring Tools
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Automated Rule Engine A configurable engine that checks activities and transactions against current regulations. |
RSA Archer provides a configurable policy and risk rules engine to manage and check compliance against regulations, as described in its product documentation. | |
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Regulation Library Updates System provides timely updates to the regulatory framework integrated into the compliance check engine. |
RSA Archer automates regulation library updates through external and internal feeds, per vendor documentation. | |
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Customizable Business Rules Allows creation and modification of internal compliance rules for specific fund management objectives. |
Product supports customizable business rules as part of policy and control management features (see product web materials). | |
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Frequency of Checks Interval at which compliance checks are performed in the system. |
No information available | |
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Multi-Jurisdictional Support Supports compliance monitoring across multiple regulatory jurisdictions. |
RSA Archer enables management of regulatory requirements across multiple jurisdictions. | |
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Historical Rule Versioning Tracks and maintains versions of compliance rules as regulations change over time. |
Supports version control and historical rule versioning for compliance and policy documents. | |
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Granular Exception Handling Ability to set threshold-based alerts and manage exceptions at detailed levels. |
Granular exception handling via configurable workflows and alerts. | |
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Scenario Testing Simulates fund activities to test compliance with anticipated regulatory changes. |
Scenario and impact testing supported using Archer's risk management modules. | |
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Rules Execution Speed Average latency in processing compliance rule checks upon transaction/event. |
No information available | |
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Automated Regulatory Filing Support Automatically prepares and/or submits required compliance-related filings to relevant authorities. |
No information available |
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Custom Alert Thresholds Administrators can define alert sensitivity and escalation paths. |
Custom alert thresholds can be defined via Archer's configurable notification workflows. | |
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Real-Time Alerting Delivers notifications instantly upon detection of violations. |
Real-time alerting and notifications available for compliance and risk events (see RSA documentation). | |
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Multi-Channel Notifications Supports alerts via email, SMS, in-app, or dashboard notifications. |
Notifications via email, dashboard, and possibly SMS (per RSA Archer public documentation). | |
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Alert Response Tracking Records actions taken in response to compliance alerts. |
Archer records user responses to alerts and tracks status through workflow capabilities. | |
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Notification Time to User Average time from breach detection to notification delivery. |
No information available | |
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Escalation Matrix Support Automates escalation of unresolved or critical alerts to higher authorities. |
Archer supports escalation matrices for compliance alerts via workflow automation. | |
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Alert Customization Level Degree to which alerts can be tailored by user or event type. |
No information available | |
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Mobile Notification Support Ability to push compliance alerts to mobile devices. |
Mobile notification support is available via Archer's mobile platform and integration. | |
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Comprehensive Audit of Alerts Maintains a history log of all alerts, notifications sent, and responses. |
RSA Archer maintains full audit trails of all compliance notifications and alerts. | |
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False Positive Rate Proportion of alerts triggered incorrectly. |
No information available |
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Immutable Audit Logs Logs are secured from alteration, ensuring an accurate record of compliance activities. |
Immutable audit logs are a stated feature for compliance record integrity. | |
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Granularity of Logging Level of detail recorded in compliance logs. |
No information available | |
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Log Retention Policy Configuration Ability to define custom retention periods for audit trails. |
Custom retention periods for audit trails and logs are supported. | |
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User Activity Tracking Monitors individual actions within compliance systems for accountability. |
Tracks user activity within the compliance platform for accountability. | |
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Timestamp Accuracy Degree of precision in log timestamps. |
No information available | |
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Export Capabilities Ability to export logs in multiple formats (CSV, JSON, PDF) for external audits. |
Supports log exports in standard formats (CSV, PDF, etc.) for audits. | |
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Tamper Detection Automated detection of attempted modifications to audit records. |
Implements tamper detection to ensure audit log integrity. | |
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Segregation of Duties Monitoring Tracks and enforces separation between compliance tasks to mitigate risk. |
Enforces segregation of duties and monitors related activity. | |
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Automated Log Archiving Scheduled archiving of older audit logs for storage optimization. |
Automated log archiving can be configured according to retention policies. |
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Pre-Built Regulatory Templates Offers templates for common regulatory reports required by pension fund agencies. |
Offers pre-built templates for regulatory reports. | |
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Custom Report Builder Allows bespoke report creation based on internal or emerging requirements. |
Custom report builder present within Archer platform. | |
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Scheduled Report Generation Supports automatic report creation on predefined schedules. |
Can schedule report generation for audits and compliance review. | |
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Regulatory Filing Formats Supported Number of supported output formats (e.g., XBRL, PDF, XML). |
No information available | |
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E-Filing Integration Direct integration with regulator e-filing portals. |
Direct e-filing integration is offered for certain jurisdictions, depending on configuration. | |
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Submission Error Detection Identifies and highlights possible errors or omissions prior to regulatory submission. |
Pre-submission error checking is a standard feature in Archer's reporting module. | |
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Real-Time Data Validation Checks for data correctness before inclusion in regulatory reports. |
Integral validation checks on data prior to regulatory reporting. | |
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Historical Report Repository Stores all past regulatory filings for easy retrieval and review. |
Maintains repository of historical and prior regulatory submissions. | |
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Automated Change Logs for Reports Maintains records of edits to regulatory reports prior to submission. |
Tracks and logs changes to reports prior to submission. |
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Central Policy Repository A centralized and secure platform for all compliance policies. |
Centralized repository for compliance policies is a core component. | |
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Version Control Tracks changes and maintains previous versions of policies. |
Supports version control and history tracking on policy documents. | |
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Automated Enforcement of Policies Automatically applies internal policy rules to operational workflows. |
Automated application of policy controls to operational procedures. | |
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Policy Acknowledgement Tracking Monitors and records acknowledgment of policy reviews by staff. |
Tracks which users have acknowledged and reviewed policy updates. | |
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Policy Review Reminders Automated notifications to review and update policies periodically. |
Automatic reminders for policy reviews and attestations supported. | |
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Policy Coverage Scope Number of functional areas (e.g., trading, reporting, HR) governed by policies. |
No information available | |
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Role-Based Policy Access Controls access to policy documents by user roles. |
Role-based access to policy documents and updates is supported. | |
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Audit Trail of Policy Changes Logs all modifications made to policies. |
All policy changes are logged for auditability. | |
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Search and Retrieval Full-text search within all compliance policies. |
Centralized search and easy retrieval of policies through full-text and attribute search. |
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Role-Based Access Control Enforces permissions and restrictions based on user roles. |
Role-based access controls are foundational across Archer modules. | |
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Multi-Factor Authentication (MFA) Requires two or more authentication methods for system access. |
Supports multi-factor authentication (MFA) for system access, as documented by RSA. | |
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Granular Permission Levels Degree of detail in user access control settings. |
No information available | |
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Automated Access Reviews Schedules and manages regular reviews of access permissions. |
Automated periodic reviews of user and admin access permissions supported. | |
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Access Log Tracking Maintains comprehensive logs of user login and activity. |
User and access logs are tracked for audits and reviews. | |
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Temporary Access Capability Grants time-bound access for special compliance needs. |
Can assign time-limited (temporary) access for urgent or special needs. | |
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Segregation of Duties Enforcement Automatically prevents assignment of incompatible roles. |
Enforces segregation of duties to prevent conflicting access arrangements. | |
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Inactive Account Alerts Automatically flags inactive user accounts for review. |
Inactive user accounts flagged and reviewed as part of user access governance. |
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Data Encryption At Rest Encrypts sensitive data stored in the system. |
Sensitive data at rest is encrypted in Archer, per RSA security documentation. | |
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Data Encryption In Transit Protects data as it moves across networks. |
Data in transit is encrypted with standard protocols. | |
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Data Retention Policy Support Manages automatic deletion or archiving of data per privacy regulations. |
Data retention policies can be configured for compliance with privacy regulations. | |
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PII (Personal Identifiable Information) Detection Automatically identifies and flags storage of PII within compliance records. |
Product detects and manages storage of Personally Identifiable Information (PII). | |
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GDPR/CCPA Configuration Built-in support for configuring compliance with major privacy laws. |
Settings for GDPR/CCPA compliance configuration are supported in Archer platform. | |
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Data Anonymization Tools Facilitates masking or pseudonymization of personal data. |
Supports anonymization and pseudonymization of personal data. | |
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Security Event Monitoring Continuous monitoring of system access and data changes for security threats. |
Continuous security monitoring of user activity and system changes for threats. | |
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Data Breach Response Workflow Pre-defined steps and notification process in case of detected data breach. |
Automated workflows for responding to data breaches, including notifications. |
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API Availability Public and documented APIs for integration with third-party applications. |
Publicly documented API for integrations with third-party and custom applications is available. | |
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Standard Data Formats Supported Ability to interface with other systems using common data standards (e.g., CSV, XML, JSON). |
Standard data formats (CSV, XML, JSON) are supported for integrations. | |
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Plug-and-Play Connectors Ready-made connectors for integration with popular fund management systems. |
Plug-and-play connectors for popular enterprise systems provided. | |
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Batch Data Import/Export Supports bulk data exchange with external systems. |
Batch data import/export supported, enabling bulk data operations. | |
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Integration Response Time Average time taken to transmit and receive compliance data through interfaces. |
No information available | |
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Webhooks Supports real-time notification and integration events via webhooks. |
Supports webhook triggers for integration and notification. | |
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Compliance Portal Integration Direct links to regulatory agency portals for streamlined compliance submissions. |
Integration with some regulatory agency portals documented in certain compliance use cases. | |
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Data Mapping Flexibility Ability to configure mapping for third-party data to internal system fields. |
Flexible data mapping is possible to accommodate custom and third-party data feeds. |
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Customizable Dashboards Personalized dashboards per user or team. |
Customizable dashboards are core component for risk and compliance monitoring. | |
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Compliance KPI Tracking Visual display of key performance indicators relevant to regulatory compliance. |
Compliance KPIs can be tracked and visualized using Archer dashboards. | |
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Real-Time Data Refresh Rate Frequency at which dashboard data updates. |
No information available | |
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Drill-Down Analytics Ability to click through summary violations to investigate root causes. |
Drill-down analytics available from summary to detail for compliance violations. | |
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Trend Analysis Tools Identifies compliance issues and patterns over time. |
Tools for identifying compliance trends/patterns across time are included. | |
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Custom Report Generation Ability to create bespoke analytic reports. |
Custom report generation is supported in Archer's analytics module. | |
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Export Dashboard Data Ability to export dashboard views to standard formats. |
Supports export of dashboard data to standard formats. | |
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Dashboard Sharing Permissions Control who can view or edit dashboard data and layouts. |
Permissions to share dashboards are controlled by user roles. |
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Sandbox/Test Environment Allows new compliance rules and changes to be tested before live deployment. |
Sandbox/test environments available for rule and policy testing before production deployment. | |
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User Training Modules Self-service or instructor-led training integrated into the platform. |
Integrated user training modules as part of Archer's platform. | |
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In-App Guidance Step-by-step instructions and tooltips to help users with compliance processes. |
In-app guidance and help features are part of user experience design. | |
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Change Management Workflows Structured procedures for managing compliance-related changes. |
Change management workflows supported for policy, rules, or system updates. | |
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Change Approval Workflows Multi-level approval steps required before compliance changes go live. |
Supports multi-level approval flows for compliance changes. | |
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Change Implementation Time Time taken to implement and roll out system changes. |
No information available | |
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Rule Impact Analysis Assessments on how a policy or rule change affects fund operations. |
Provides impact/what-if analysis for rule and policy changes. | |
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Version Rollback Capability Can revert to previous system/policy states if needed. |
Version rollback capability for policy/state supported. |
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