Univeris is a pioneer in moving to workflow-based trade supervision. With SupervisionXPRESS™, the compliance function uses the same system as advisors to review and approve trades with documentation attached.
Univeris SupervisionXPRESS™ is an online and real-time supervision module for Banks, Credit Unions, Dealers and their Compliance personnel, which helps ensure that all new accounts, trades and KYC changes are reviewed in a thorough, consistent and timely manner directly through the Univeris platform.
How SupervisionXPRESS™ Benefits Users
- Comprehensive supervision and review practice that automatically feeds all relevant activity to targeted reviewers.
- Enables dealers to manage compliance in real-time on an ad hoc basis for dealer audits and regulatory reporting.
- Single source for all reviews enables an efficient compliance supervision process.
- Access to client’s full investing profile in one location minimizes additional time-consuming searches and navigation.