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Matthew L Hutchison
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InvestEdge ASP – Compliance Solution

 Automating Annual Investment and Administrative Reviews

Financial institutions must comply with rigorous and ever-changing regulatory standards for managing investment portfolios. Traditionally, demonstrating adherence to a consistent investment policy process for clients has been a manual effort, often resulting in an ineffective use of personnel, potential mistakes, and costly audits and penalties.
To mitigate these risks, the InvestEdge Compliance System dramatically increases the efficiency and reliability of virtually all aspects of investment and administrative account reviews. With InvestEdge, organizations realize:
         Significant decreases in manual FTE hours.
         Significant increases in the accuracy and consistency of account reviews.
         Enhanced ability to customize compliance parameters.
         Simplification of external/internal audit processes.
        Improved customer service by monitoring and managing to stated investment  policies,  at the account or relationship level.
A Changing Paradigm
InvestEdge Compliance equips firms to transition compliance from a reactive, subjective approach to a proactive, objective methodology tied into the management of accounts. The system provides a consistent process to monitor the status of investment reviews and ensure they are conducted in a timely manner. Likewise, InvestEdge equips account administrators with tools that simplify administrative reviews. Integrated workflow features help to set up accounts for administrative reviews, identify accounts due for review, and guide accounts through approval procedures. 
Through daily compliance checks, InvestEdge proactively analyzes portfolio holdings and allocations to ensure alignment with customer mandates, investment policy statements, firm policies, and government regulations. When issues are identified, corrective measures can be immediately taken.
The Solution Process
InvestEdge simplifies virtually all aspects of account reviews. Throughout the review cycle, easy monitoring of the review status allows firms to prioritize and conduct reviews more evenly. Customizable routines sequentially route reviews to each person in the review chain. Accounts deemed ready for review are submitted to ‘approvers’. When a review is accepted, the system archives it and creates a new review for the following period. Accounts which require additional evaluation are automatically routed back to the advisor for modification. All comments and actions taken throughout are documented and saved.
Proactive Compliance
Transition compliance monitoring from a ‘reactive event’ to a ‘proactive methodology’ throughout the year:
     Monitor accounts daily without disrupting the workflow of advisors.
     Manage  review process at the account and/or relationship level.
     Automate and record each step of the annual account review process (including who reviewed, when, comments, and final approval).
     Simplify account reviews for auditors—conduct audits on-line.
     Consolidate client data such as, letters of indemnification, meeting notes and emails, into one system for easy access and reference in reviews.
Asset-level Monitoring
Compare every holding in every account against stated policies:
     Implement rules that can be applied to all accounts.
    Create customizable rules for individual accounts. Receive daily notification of compliance problems and take immediate action.
     View exceptions by account, manager or all accounts.
     Group accounts and monitor as a whole to ensure policies are correctly applied.
     Prioritize exceptions based on severity and due date.
Mitigate Risk
Minimize risk and reduce exposure:
     Create a history of all compliance issues and actions taken.
     Manage accounts in accordance with policies and restrictions.
     Consistently manage firm-wide policies across all accounts.

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