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Employee Compliance
Automates personal trading pre-clearance, code of ethics attestations, and outside business activity tracking with best-in-class brokerage feeds powered by direct integrations a...
What is Employee Compliance?
Automates personal trading pre-clearance, code of ethics attestations, and outside business activity tracking with best-in-class brokerage feeds powered by direct integrations and AI-powered document processing.
Product typeRegulatory Compliance
Pricing ·
Deployment
APINot available
What teams use Employee Compliance for
SEC and FINRA compliance management
Communications archiving and supervision
Employee compliance and personal trading monitoring
Marketing compliance review and approval
Firm compliance with automated workflows
Third-party vendor due diligence and oversight
Prediction market activity monitoring and disclosure
Integrations and access
Platforms, integrations, and language support vary by plan and region. Confirm final requirements with the vendor.
Platforms
IntegrationsAPI and webhooks
Languages
Support
What reviewers say
Community reviewsReviews are owned and editable by their authors.
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Enterprise readiness
Compliance claims are normalized from current vendor documentation and independently reviewed by SOTA2.
SOC 2 Type II
WORM / 17a-4 Compliant Architecture
2025 Penetration Test
Business Continuity and Disaster Recovery Policy
Change Management Policy
Change Testing
Code of Conduct
Cybersecurity Insurance
Data Classification Policy
Data Retention and Disposal Policy
Disposal of Customer Data
Encryption in Transit and at Rest
Endpoint Security
High Availability Configuration
Incident Response Plan
Incident Response Plan Testing
Internal Control Monitoring
Network Security Policy
Production Data Use is Restricted
Risk Assessment
Secure Development Policy
Segregation of Environments
Vendor Due Diligence Review
Vendor Risk Management Policy
Vulnerability and Patch Management Policy
Data retention:
Benchmarks and comparisons
Independent benchmarksStructured task results are being verified.
Side-by-side comparisonsComparison workspaces will be available in a later release.
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