Compliance Surveillance

Anzo provides proactive visibility into employees’ compliance with a financial institution’s policies and procedures for insider trading investigation and other surveillance

Traditional approaches to compliance surveillance rely on limited data sets, predefined models, and hard-coded rules to sift through data and uncover potential compliance violations.

Anzo enables a new investigative paradigm based on combining disparate data sources in an interactive model that allows compliance officers to investigate for compliance violations.

Anzo links and aggregate account activities, web logs, email and phone archives, IM communications, and other sources to uncover potential violations of regulatory requirements as well as internal policies and procedures violations.

  • Key Benefits
  • Use Cases
  • Capabilities
  • Allow investigators to drill deeply into potential compliance issues by asking and answering questions in real-time
  • Easily deploy proactive and customizable compliance dashboards and automated reports to monitor activity with new or updated policies and procedures
  • Avoid false positives by analyzing a complete picture of employee activity that connects structured, unstructured, internal, and external data
  • Combine watchlist data stored in Excel spreadsheet with data from transactional systems or transaction PDF documents to see any inappropriate trades were made when an entity was on the watchlist or few days before the entity went on the watch list.
  • Combine the watchlist and transactional data with emails to see if any inappropriate emails were sent out.
  • Extract relationships from LinkedIn or other social media sites to see if connected resources made an inappropriate trade.
  • Integrate and search data from disparate data sources
  • Enable line-of-business managers to define their own visualizations, reports and alerts
  • Support case management alerts and work flows