Governance, Risk, and Compliance

Get World-Class GRC Assurance

Auto-pilot Compliance—So You Don’t Have to Worry

Because Univeris has compliance functionality integrated into its wealth management platform,  you don’t have to worry about actively managing compliance rules. Univeris continuously provides automated, audited support of compliance processes drawn from applicable Provincial Securities Acts, regulators, and industry groups. With regular updates made as regulations change, we provide compliance support for investment products such as Mutual Funds, GICs, and Exchange Traded Products.

BUSINESS CHALLENGE:

An established digital bank was a newcomer to the wealth management investment business. The bank sought an end-to-end wealth management technology solution that could easily plug into its current system. The solution had to meet three requirements:

  1. Automate various underlying compliance processes,
  2. Enable investors to open accounts and buy/sell their funds, and
  3. Offer an engaging mobile experience that reflects its brand.

Selecting a Trusted Wealth Management Solution with Robust, Industry-Standard GRC Features

Selecting a Trusted Wealth Management Solution with Robust, Industry-Standard GRC Features

BUSINESS CHALLENGE:

An established digital bank was a newcomer to the wealth management investment business. The bank sought an end-to-end wealth management technology solution that could easily plug into its current system. The solution had to meet three requirements:

  1. Automate various underlying compliance processes,
  2. Enable investors to open accounts and buy/sell their funds, and
  3. Offer an engaging mobile experience that reflects its brand.
SOLUTION:

After an extensive search, the bank selected Univeris because of its outstanding compliance functionality. With Univeris, compliance is integrated directly into the wealth management platform.

And because compliance is always on auto-pilot in the background managing advisor and investor features, the bank built its own investor experience and user interface while using the Univeris platform to handle trading and compliance.

As a bonus function, many wealth management rules are configurable. Univeris is also extensible through Application Programming Interfaces (APIs). Other wealth management functions can be extended through APIs, allowing for more integrations with modern business and mobile-enabled business systems as the organization needs evolve.

Simplify Your Regulatory and Compliance Experience

Time to Market

With compliance already integrated into the Univeris wealth management platform, wealth management firms can build their solution within weeks, saving themselves months, or even years, of integrations.

Worry-Free Compliance

Univeris maintains and strengthens its compliance engines as regulations change. Wealth management firms can count on the semi-annual system updates to stay compliant.

We’ve been impressed by Univeris’ robust compliance functionality. Since compliance rules are always changing, we never have to wonder if we are up-to-date with the latest rules and regulations because of the automated compliance processes found in Univeris.

Want to Learn More?

Interested and want to know more about Univeris GRC functionality? Contact us, and we’ll be happy to answer your questioins.