Risk & Compliance Intelligence Platform

SS&C’s Risk & Compliance Intelligence Platform (RCI) provides accurate and detailed surveillance and analysis of all transactions, orders, account activity and holdings. Every day, Chiefs of Compliance and Compliance teams look to RCI to assist them in their mandated day-to-day supervisory activities. RCI’s automated surveillance capability powered by an extensive library of pre-configured and customizable compliance tests supporting FINRA, SEC, IIROC, Bank Secrecy Act and world-wide AML regulations, provides the essential elements for a single compliance environment, eliminating the need to integrate data from multiple applications.

With RCI, compliance organizations gain confidence that their supervisory activities and compliance policies are functional, accountable and executed consistently.

Available in two versions - Select & Complete - RCI delivers value to any financial institution:

  • Select provides compliance professionals with access to valuable features and functionality, as well as a select list of compliance tests to support smaller firms compliance and surveillance efforts.
  • Complete is the ultimate surveillance tool, providing full capability and access to all modules and features.

RCI modules give firms the option to select the regulatory functionality they need:

  • AML Module – supports BSA/USA Patriot Act and world-wide AML requirements and regulations.
  • Senior and Vulnerable Investor Module – supports identification of instances of financial exploitation of elderly or vulnerable investors.
  • Broker-Dealer/RIA Supervisory Module – supports FINRA and SEC broker, advisor and investor transaction, account and portfolio surveillance requirements.
  • Investment Suitability Module – supports FINRA and SEC suitability regulations, detecting accounts that are not invested according to stated risk objectives, as well as identifying concentration issues.
  • Employee Account and Trading Away Activity Monitoring Module - supported by full access to SS&C Evare’s global broker-dealer and financial institution data network, this module provides comprehensive and accurate surveillance and monitoring of investment activity for all employee accounts held away at other financial institutions.