FinWebTech Information

Compliance officers today are under severe pressure from regulators. While compliance officers strive for perfection, it is an almost impossible task unless there is a significant compliance departmental size without technology and automation. Regulators are requiring more of compliance officers and their compliance programs to which many compliance officers have little to no solutions. Most compliance officers have the information available, however most of the information is a paper based manual system that leads to inefficient processes. FinWebTech was started based on the needs of one such Chief Compliance Officer who needed a suite of products to make his program more efficient with automated solutions, thereby making reporting easier. A review of the industry showed solutions that are fragmented across multiple providers. This Chief Compliance Officer embarked on a journey to develop a system that would effectively enhance the compliance program of any financial services firm and started FinWebTech to fulfill this need. Compliance Manager Compliance Manager is the flagship application developed for Broker Dealers and Registered Investment Advisors. Compliance Manager has all of the elements to enhance a firm’s compliance program through its 360 degree view of the organization including Supervisory Processes Management, Trade Surveillance, AML Surveillance, Document Libraries, Risk Management and Monitoring Tools to name a few. Compliance Manager will enhance the financial institutions compliance program by providing compliance professionals with the tools required to effectively manage their compliance program, ”Launching January 2015″.