Compliance
Monitor sales and transaction activity across a multi-product, distributed sales network with the Lansare Compliance Platform.
Applications
- Conduct back-end surveillance for suitability and adherence to firm guidelines
- Monitor Financial Advisor sales activity for trends, irregularities and repetitive practices
- Detect unusual and suspicious activity for AML compliance
- Receive automated alerts on known risks
- Review exception reports and perform in-depth research for pinpoint analysis
- Generate comparative statistics and analysis across Advisors, Products, and customer demographic groups
We support complex data needs including multi-carrier, multi-product, customer demographic, risk profile and other third-party data sources. The Lansare Compliance Platform ties seamlessly with front-end and Straight-Through Processing initiatives, and will simplify your post-sale compliance and surveillance activities.
Example Monitoring Scenarios
- Sale of variable products to seniors
- Product, age and sub-account concentration analysis by Advisor, Branch and firm
- 1035 exchange activity across the entire book
- Automated alerts for suspicious transaction activity