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COMPLIANCE & SUPERVISION TECHNOLOGY

Automate Oversight. Strengthen Controls. Maximize Transparency. Is keeping up with compliance requirements consuming valuable resources across your firm? Softek’s Compliance & Supervision Technology delivers automated oversight aligned with your Written Supervisory Procedures (WSPs), enabling complete transparency, efficient execution, and a fully auditable compliance environment.

AUTOMATING COMPLIANCE & SUPERVISION FOR MODERN FIRMS

Regulatory obligations continue to expand, and for Broker‑Dealers, RIAs, Hybrid firms, and supervisory teams, staying ahead of requirements is increasingly complex. Manual processes drain time and focus—time better spent supporting advisors, enhancing client service, and driving financial performance. As regulatory expectations evolve quickly, mistakes can lead to meaningful risk. Softek addresses these challenges head‑on. Our compliance and supervision modules are powered by built‑in, configurable WSP‑driven protocols that automate the day‑to‑day tasks required to maintain a compliant program. Firms benefit from a holistic, technology‑enabled approach that ensures consistent monitoring, reduces manual error, and creates a scalable compliance framework that grows with your business.

From AML and surveillance to branch audits, transaction review, and reporting, Softek equips firms with the tools needed to maintain oversight—and confidence.

CONTROL AND CONFIGURE

Softek empowers compliance and supervisory teams to maintain SEC, FINRA, State, Federal, and firm‑specific requirements with ease. Supervisors can efficiently manage duties tied to Reg BI, review advisor activity, and produce detailed audit documentation on demand.

With 150+ out‑of‑the‑box reports—built from decades of real regulatory exam experience—back offices can quickly extract the data they need to respond to internal and external inquiries.

COMPLIANCE CAPABILITIES

  • WSP enforcement and integrated compliance workflows

  • AML capabilities including FinCEN, OFAC, and KYC

  • Surveillance exceptions and automated reporting

  • Branch audit reporting and control testing

  • Electronic blotter systems for checks, signatures & securities movements

  • Reverse churning detection

  • Active trading and excessive activity alerts

  • Leveraged position monitoring

  • Possible mutual fund switch identification

  • Asset concentration alerts

  • Risk‑tolerance vs. performance mismatch analysis

  • 2440 stock proceeds monitoring

CONTROL & CONFIGURE

  • Softek empowers compliance and supervisory teams to maintain SEC, FINRA, State, Federal, and firm‑specific requirements with ease. Supervisors can efficiently manage duties tied to Reg BI, review advisor activity, and produce detailed audit documentation on demand.

  • With 150+ out‑of‑the‑box reports—built from decades of real regulatory exam experience—back offices can quickly extract the data they need to respond to internal and external inquiries.

COMPLIANCE CAPABILITIES

  • WSP enforcement and integrated compliance workflows

  • AML capabilities including FinCEN, OFAC, and KYC

  • Surveillance exceptions and automated reporting

  • Branch audit reporting and control testing

  • Electronic blotter systems for checks, signatures & securities movements

  • Reverse churning detection

  • Active trading and excessive activity alerts

  • Leveraged position monitoring

  • Possible mutual fund switch identification

  • Asset concentration alerts

  • Risk‑tolerance vs. performance mismatch analysis

  • 2440 stock proceeds monitoring

SUPERVISION CAPABILITIES

  • Smart Blotter™ risk‑based transaction review

  • Firm‑defined transaction coloring for instant prioritization

  • Configurable review and assignment workflows

  • Payment holds during supervisory review

  • Support for pre‑approved orders

  • Automatic FINRA license review on every transaction

  • Flexible assignment models (e.g., municipal principals, transaction supervisors)

  • Reg BI monitoring, review, and exception tracking

ADVANCED REPORTING

  • 150+ standard reports accessible to advisors and back office

  • Configurable views with customizable fields, sorting & grouping

  • On‑demand customized reports for specific supervisory needs

  • Integrations with business intelligence platforms (including Power BI)

Every module is engineered to support a supervisory approach that aligns with your firm’s unique structure, risk model, and WSP framework.

Ready to transform your operations? Let's talk about how Softek solutions can deliver the results your firm needs.

Option Risk Monitoring 

Explore how our cutting-edge solutions enabled a client to capture real-time risk exposures effectively. Our case study highlights the innovative approach used to identify high-risk accounts and manage challenges from complex option strategies.

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