Investment banks and brokerage firms face growing challenges in a constantly changing global economy. With increasing government regulation and the need to serve customers on a global scale, it is essential to optimize regulatory compliance, enhance risk management, and achieve high quality customer service, efficient dispute resolution and process efficiency.

NICE and Actimize Brokerage Compliance Solutions enable retail and institutional brokerage firms, investment banks, as well as asset and wealth management and correspondent/clearing businesses to:

Ensure regulatory compliance across the globe

Comply with regulations across the Americas, Europe and Asia Pacific. Leverage established detection models designed in collaboration with industry experts, leading multi-channel recording, and proven workflow processes.

Improve business-process efficiency for investigations

Enable investigators to focus on the highest-risk activities. Automate supervision and surveillance. Streamline oversight and controls with centralized risk case management, powerful investigation tools and comprehensive reporting and auditing capabilities.

Minimize total cost of ownership (TCO)

Rapidly deploy Brokerage Compliance Solutions with built-in connectors to third-party systems and best-practice implementation methodology. Achieve low TCO through centralized capabilities. Protect existing infrastructure investments and benefit from a software-only solution.