Use Case
Investment Compliance Monitoring
Automate holdings-based compliance monitoring across large fund universes to reduce risk and streamline breach investigations.
Description
Investment compliance monitoring is complex due to fragmented data sources, manual processes, and the need to enforce diverse regulatory and custom rules.
Our platform centralizes and harmonizes holdings data, enabling automated compliance checks across all portfolios. It integrates with your providers, supports customizable rules, and offers smart workflows.
It streamlines breach detection, investigation, and resolution, reducing risk while improving scalability and transparency.
Key Features
- Centralized ingestion and harmonization of holdings and trades with seamless integration to compliance tools.
- Flexible rule engine with contextual breach detection and embedded human validation workflows.
- Scalable solution for large fund universes, enabling automated monitoring and reduced compliance risk.
Data Objects
- Funds/Sub-Funds
- Portfolio Positions
- Transactions
- Provider X results
- Compliance Rules
Workflows
- Ingest and Clean Portfolio
- Load Provider X results
- Calculate NGT Analytics
- Build Breach Investigation Tasks
“Asset managers must adapt quickly to meet investors' expectations and having a reliable partner like Next Gate Tech is essential for this transition.”
BJ
Benoît Joseph
Chief Risk Officer, Trustmoore
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