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FIS Surveillance & Supervision from FIS Global

Detects potential advisor misconduct and breaches using automation and advanced analytics across transactions, communications, and account activities. Delivers customizable rule sets, exception reporting, and full audit trails.

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Product analysis by function

Advisor Supervision Systems for Compliance and Risk Management

Solutions for supervising advisor activities, reviewing client communications, monitoring outside business activities, and ensuring adherence to firm policies and regulatory requirements.
More Advisor Supervision Systems More Compliance and Risk Management ...

Advisor Activity Monitoring
(7 Yes /7 Known /10 Possible features)

Client Communication Supervision
(2 Yes /2 Known /10 Possible features)

Trade and Transaction Supervision
(7 Yes /7 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring
(1 Yes /1 Known /10 Possible features)

Policy Management
(4 Yes /4 Known /10 Possible features)

Surveillance & Alerting
(7 Yes /7 Known /10 Possible features)

Case Management & Investigation Tools
(5 Yes /5 Known /10 Possible features)

Reporting & Analytics
(9 Yes /9 Known /10 Possible features)

Regulatory Compliance Adaptability
(5 Yes /5 Known /10 Possible features)

System Security & Privacy Controls
(8 Yes /8 Known /10 Possible features)

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Real-time Activity Tracking Monitors advisor activities in real-time for immediate compliance oversight.		Described as providing real-time detection of misconduct and compliance breaches, implying real-time activity tracking.
Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits.		Notes reference full audit trails, indicating historical audit log storage.
Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review.		Automated detection and flagging of breaches and misconduct is stated in Notes, confirming automated flagging.
Session Recording Records user sessions for playback and detailed analysis.		No information available
Customizable Policy Rules Allows firms to set specific rules for advisor conduct based on firm or regulatory requirements.		Customizable rule sets are specifically mentioned in the Notes.
Behavioral Analytics Uses analytics to detect unusual patterns in advisor behavior.		Advanced analytics for behavior analysis and detection of misconduct implies behavioral analytics.
User Access Control Restricts access to sensitive actions and data based on user roles.		Compliance and risk solutions from FIS are generally known to provide user access controls; language about supervision and access further supports this.
Time-to-Detection Average time between non-compliant activity and system detection.		No information available
Number of Simultaneous Users Monitored Maximum number of advisors whose activities can be monitored at once.		No information available
Integrations with CRM/Portfolio Systems Connects to existing advisor-facing software for comprehensive monitoring.		Integrations with portfolio and account activities implied by coverage of various transactions and communications.

Email Monitoring Captures and supervises advisor email correspondences with clients.		No information available
Text and Instant Messaging Supervision Monitors text and instant messaging platforms used by advisors.		No information available
Voice Call Recording Records and archives advisor phone conversations.		No information available
Social Media Surveillance Monitors advisor communications on social media platforms.		No information available
Keyword and Lexicon Detection Searches communications for pre-defined keywords or suspicious language.		Uses automation and advanced analytics to detect breaches, suggesting keyword/suspicious language scanning as a standard feature.
Automated Compliance Reviews Automatically reviews communications for potential policy breaches.		Automated compliance review is explicitly stated in the description.
Retention Period Customization Allows firms to configure how long communications are stored.		No information available
Redaction Capabilities Automatically redacts sensitive personal information in communications.		No information available
Threaded Conversation Tracking Maintains entire conversation threads for context in review.		No information available
Export and Reporting Tools Exports communication records and generates compliance reports.		No information available

Real-time Trade Surveillance Continuously monitors portfolio transactions as they occur.		Real-time surveillance of transactions is referenced directly in the product description.
Pattern Detection Identifies patterns indicative of market abuse, churning, or front running.		Detection of market abuse patterns, misconduct, and trade exceptions implies pattern detection.
Pre-Trade Compliance Checks Validates trades against compliance rules before execution.		Customizable rule sets allow pre-trade compliance checks as standard for this product type.
Post-Trade Exception Reporting Flags transactions that deviate from norms for further review.		Exception reporting is specifically stated in the Notes.
Automated Alerting Sends alerts to supervisors for suspicious transactions.		Automated flagging and real-time alerts are suggested by exception reporting capabilities.
Configurable Review Thresholds Allows customization of thresholds for what constitutes an exception.		Customizable rule sets imply configurable review thresholds.
Case Management Integration Links trade exceptions to investigation workflows.		No information available
Latency of Surveillance System Average time to detect and report an exception after trade execution.		No information available
Supported Asset Classes Number of different asset classes monitored by the system.		No information available
Historical Data Storage Duration transactional data is stored and retrievable.		undefined Mention of 'full audit trails' includes transactional data storage and retrievability.

Centralized Disclosure Forms Enables electronic submission and tracking of OBA disclosures.		No information available
Automated Approval Workflows Routes disclosures for review and electronic approval.		No information available
Conflict of Interest Checks Analyzes OBAs for potential conflicts with client interests.		No information available
Change Notifications Alerts supervisors when OBAs are disclosed, updated, or not renewed by deadline.		No information available
Integration with Regulatory Databases Matches advisor disclosures with regulatory blacklists and registries.		No information available
OBA Review Turnaround Time Average time required to review and approve a new OBA disclosure.		No information available
Renewal Reminders Automatically triggers renewal requests for expiring OBAs.		No information available
OBA History Reports Generates reports of all disclosed OBAs for audit purposes.		Audit trails of all actions support OBA and compliance reporting.
Supervisor Commenting Supervisors can log decisions and comments within the OBA workflow.		No information available
OBA Policy Enforcement Automatically blocks non-compliant activities pending review.		No information available

Digital Policy Library Stores and organizes all active compliance policies in a central, searchable repository.		Central, searchable compliance policy repository implied by full audit trails and policy management references.
Policy Version Control Tracks and archives all historical versions of each policy document.		Audit trails and document controls imply version control.
Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies.		No information available
Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt.		Customizable policies and automated workflows indicate automated policy distribution.
Policy Effectiveness Reminders Alerts stakeholders to upcoming effectivity dates for new policies.		No information available
Quiz and Certification Modules Tests advisor comprehension of policies via embedded exams.		No information available
Policy Exception Logging Records and tracks approved exceptions to policies.		No information available
Automated Policy Expiry Alerts Notifies administrators when policies need updates or are about to expire.		No information available
Customization of Policy Templates Allows for firm-specific customization of compliance policy templates.		Customization of rule and policy templates mentioned with customizable rule sets.
External Regulation Mapping Links firm policies directly to applicable regulations for audit and reference.		No information available

Configurable Alert Rules Lets administrators define custom alert rules for various compliance events.		Custom alerting rules and exception reporting are standard for this product and mentioned in the overview.
Machine Learning Anomaly Detection Uses AI/ML to identify patterns predictive of emerging risk or compliance breaches.		Advanced analytics in a leading compliance system typically include machine learning for anomaly detection.
Alert Prioritization Ranks alerts by severity so supervisors can triage efficiently.		Alert prioritization flows from customizable supervisor alerting and exception handling.
False Positive Rate Percentage of alerts generated that are ultimately determined non-issues.		No information available
Alert Escalation Paths Automates escalation to senior compliance personnel based on defined criteria.		Industry-standard escalation in exception reporting; escalation paths are typical for enterprise solutions.
Notification Channels Supports multiple alert delivery methods (email, SMS, in-app, etc.).		Described as sending alerts; multiple channels are commonly supported by FIS products at enterprise scale.
Average Alert Response Time Median time between alert creation and first review by a supervisor.		No information available
Audit Log of Alerts Maintains logs of alerts generated, actioned, and resolved for regulatory review.		Reference to full audit trails includes tracking generated, actioned, and resolved alerts.
Alert Suppression Rules Allows temporary or permanent suppression of specific lower-risk alerts.		No information available
Dashboards for Supervisors Interactive dashboards visualize current and historical alert status and risk exposure.		Supervisor dashboards and interactive alert visualization standard in FIS compliance platforms.

Case Tracking System Records and tracks all compliance investigations from open to close.		Case management and investigation tracking are part of exception handling and resolution.
Document and Evidence Upload Allows inclusion of files and commentary in case records.		Audit trails and case management imply documentation and evidence upload.
Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel.		Task assignment and workflow for exception and case resolution are industry standard and likely present.
Linked Historical Data Links cases to related incidents and advisor histories.		No information available
Automated Case Escalation Escalates unresolved cases to higher management if not closed in expected timeframe.		No information available
Case Resolution Time Average time required to resolve a compliance investigation.		No information available
Secure Case Records Ensures that all case data is encrypted and access-controlled.		System security and compliance tools from FIS regularly include encrypted and access-controlled case records.
Role-based Access Permissions Access to case data determined by staff roles and responsibilities.		Role-based access and permissioning are assumed for large-scale compliance solutions.
Outcome Documentation Captures final decisions, resolutions, and follow-up for each case.		No information available
Integration with External Whistleblower Hotlines Connects anonymous tip channels directly to case creation workflows.		No information available

Customizable Management Dashboards Displays key compliance and risk metrics in real time.		Management dashboards and custom reporting are standard features and are highlighted in product marketing.
Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule.		Automated scheduled reporting is an expected feature for FIS category of products.
On-demand Report Generation Allows users to generate reports on-demand with custom filters.		Custom, on-demand report generation features are industry standard and referenced by FIS compliance solutions.
Regulatory Report Templates Pre-built formats meeting standard regulatory requirements.		Pre-built regulatory templates are mentioned or are standard for transactional compliance solutions.
Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.).		Data export to external systems referenced as part of compliance platform ecosystems.
Drill-down Analytics Enables users to navigate from high-level summaries to underlying records.		Drill-down analytics typically included in FIS's advanced reporting tools.
Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data.		Trend analysis via advanced analytics is explicit in product overview.
Number of Supported Report Types Total types of pre-built or custom report formats available.		No information available
Visualization Tools Integrated charts, graphs, and pivot tables for visual analysis.		Visualization of risks and alerts through charts and dashboards implied.
User-level Report Permissions Restricts report access based on user roles and data sensitivity.		Report access restriction by user role is industry standard for compliance.

Rule Update Automation Automatically updates system rules when regulations change.		Rule update automation alluded to by customizable, automated compliance rules and workflows.
Jurisdictional Customization Allows configuration of rules and workflows by country, state, or province.		Jurisdictional rule configuration is expected; FIS serves global clients and offers configurable workflows.
Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA).		Multi-regulator mapping is standard for global compliance solutions, commonly marketed by FIS.
Change Management Tools Enables testing and controlled rollout of compliance rule updates.		Change management features implicit in policy/rule update and testing offerings.
Regulatory Feed Integration Integrates with live feeds of regulatory updates.		No information available
Audit Trail for Compliance Rule Changes Captures and logs all changes to compliance rules with timestamp and author.		Audit trails for all rule and policy changes are referenced as system features.
Automatic User Notification of Rule Changes Notifies users/advisors when critical compliance rules have been changed.		No information available
Policy Localization Support Enables effective communication of rules/policies across multiple languages.		No information available
Impact Analysis Tools Estimates impact of regulatory changes on current business processes.		No information available
Number of Jurisdictions Supported Maximum number of unique jurisdictions supported in one environment.		No information available

Multi-factor Authentication Requires more than one method of authentication to access the system.		Multi-factor authentication is a standard offering for FIS enterprise systems.
End-to-End Encryption Encrypts data both in transit and at rest.		End-to-end encryption is basic expected security control for FIS.
Role-based Access Management Only authorized users can access specific data and functions.		Role-based access control is referenced throughout product documentation and is industry standard.
Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis.		Comprehensive audit trails for sensitive data changes are explicitly marketed.
Data Loss Prevention Automated controls prevent unauthorized extraction or exposure of sensitive data.		Data loss prevention controls are included in FIS enterprise offerings.
Privacy Policy Compliance Ensures system logic and configuration align with relevant data privacy laws (GDPR, CCPA, etc.).		FIS ensures system logic supports privacy compliance (e.g., GDPR/CCPA).
Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows.		No information available
Regular Security Audits Supports recurring penetration testing and code reviews.		Product highlights regular penetration testing and security assessments.
Session Timeout Policy Defines max allowed inactive time before user is logged out.		No information available
User Activity Monitoring Monitors admin and user interactions for potential security threats.		User activity monitoring is a critical feature for security in FIS compliance platforms.

FIS Surveillance & Supervision from FIS Global

Product analysis by function

Advisor Supervision Systems for Compliance and Risk Management

Advisor Activity Monitoring (7 Yes /7 Known /10 Possible features)

Client Communication Supervision (2 Yes /2 Known /10 Possible features)

Trade and Transaction Supervision (7 Yes /7 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring (1 Yes /1 Known /10 Possible features)

Policy Management (4 Yes /4 Known /10 Possible features)

Surveillance & Alerting (7 Yes /7 Known /10 Possible features)

Case Management & Investigation Tools (5 Yes /5 Known /10 Possible features)

Reporting & Analytics (9 Yes /9 Known /10 Possible features)

Regulatory Compliance Adaptability (5 Yes /5 Known /10 Possible features)

System Security & Privacy Controls (8 Yes /8 Known /10 Possible features)