Cypher is a customizable compliance software that automates and streamlines processing and supervision oversight within a single compliance technology platform. Instead of relying on labor-intensive and error-prone manual methodologies organizations can allocate staff to tasks that require personal attention, and free them to focus on more profit-driving functions. The browser-based interface allows users to view and respond to cases online, generate alerts which can be routed to designated officers, facilitating teamwork and faster collaboration and appropriate audit trail, as well as adequate supervisor.

What differentiates the Cypher solution from other compliance related software is the system was developed with input and methodology from compliance industry experts. Cypher offers a cost effective compliance monitoring solution that utilizes existing clearing firm and custodial data/information to develop customized, risk based analysis and reporting tools enabling organizations to implement proactive and comprehensive compliance programs.

This customizable compliance solution targets the ever changing regulatory landscape automating and enhancing risk protocol and related measures for broker-dealers and investment advisers. Cypher provides organizations with an automated process to enhance overall supervision and monitoring activities in critical regulatory areas including: Suitability, Code of Ethics, Employee Trading, Anti–Money Laundering (AML), amongst various other brokerage and advisory regulatory focus areas.

Customized Broker-Dealer Compliance Dashboard that is configured to centralize and flag problematic sales practice activities. Automated transaction suitability detection, personal trading activities and streamlined oversight and rationale reservoir. Provides the ability for firms to develop targeted exception reports that are tailored to organizational procedures and specific review requirements. Consolidated identification, review and reporting system to memorialize overall supervisory controls administered by the firm with measurable audit trail and related controls.

The Cypher dashboard provides centralized access to key personnel in order to manage and oversight organizational compliance initiatives, policies and procedures by providing a current snapshot of activities and/or tasks awaiting action or approvals. The role-sensitive Cypher dashboard enables supervisors to monitor team member activities to help ensure the timely completion of compliance tasks, which are crossed referenced to written supervisory procedures/compliance manual.