THE
PROBLEM?

Compliance teams need to leverage technology to drive scale, reduce their total cost of ownership, and deliver a better experience for principals, advisors, and support staff. Principals of the firm need greater visibility into a client’s account to easily perform supervisory and compliance reviews and collaborate more effectively with advisors and support staff.

Next-Gen Cloud Compliance

Skience Surveillance provides wealth management firms with significant operational efficiencies while managing regulatory and business risk. The platform provides principals with full visibility into all account activity for the advisors they supervise. The highly configurable platform allows firms to define approval and exception workflows that align with company policies or adapt them as regulations evolve or your business grows.

Skience Surveillance

Full account transparency

Wealth management principals lose productivity having to jump from system to system to review trades and accounts. Skience provides a single trade blotter and account blotters that integrate data from multiple sources – including clearing, custodial, and direct accounts – providing a complete picture of clients’ trade activity and a more accurate view of investments.

Custom configurations

Firms can configure account-, client-, and household-based exceptions, and blotters using a robust rules engine, providing an unparalleled experience for principals, advisors, and support staff.

Increased efficiency and collaboration

Principals have access to household, client, and account information along with 12 months of historical exceptions. With full visibility into an account, principals can easily collaborate with advisors and support staff, which helps create workflow efficiencies, improve account decision-making, and identify trends based on historical account data.

A system that grows with you

Regulations in financial services are continuously evolving, and the interpretations of those regulations can vary based on the firm or the firm’s business model. Skience Surveillance is a highly configurable system providing consolidated blotters across custodians and direct accounts. The rules engine allows you to update exceptions as regulations change and your business grows.

Contact us to learn more!

Compliance teams turn to Skience to ensure scalability, stay up-to-date with ever-changing regulation, and create a better principal experience. We are here to help solve your compliance needs.

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