Wealth management & compliance software
Integrated CRM, document management & compliance software for financial services firms.
Increases customer service
Frees you back to your business
Our compliance tools span the entire enVisual wealth management system providing a comprehensive, failsafe solution for you and your firm. We do not believe this can be achieved using a simple 'compliance module' often provided in other systems. Our compliance tools are fully integrated with your other enVisual modules such as CRM, document management, trust & company administration and all enVisual accounting modules. Keeping it simple or as sophisticated as you like.
Take a look at some of our compliance tools below.
Alerts 360 - Application Intelligence
The Alerts 360 module for enVisual is a user maintainable rules engine that automatically checks your enVisual data at specified intervals, ensuring that your client data is compliant at all times. System users are automatically advised of rule breaches in the form of alert messages, system tasks and dashboard indicators. Alert 360 is also capable of locking clients in the event an important rule is breached.
Alerts are commonly used to constantly mine your data for anomalies such as missing addresses, expiring passports etc. Alert rules can also be used by other functions within your firm such as finance where rules can be used to proactively monitor items such as unpaid invoices. Business development can use rules to identify possible sales opportunities within your customer or prospect base.
Alert 360 provides you with a self-auditing database, 24/7, 365 days a year.
Integrated workflow / process based processing - enProcess.
Our enProcess BPM / workflow module enables the entire data maintenance of enVisual to be driven by workflow. enProcess includes a vast library of common processes which you can modify and add to. Essentially because enProcess is fully integrated with enVisual, workflow can post data that has been validated and approved according to your rules, directly into enVisual ledgers.
Integrated relationships structure. Transparency.
The basic client-centric structure of our CRM module coupled with the auto-building relationships manager (also CRM) provides a powerful visual tool in identifying potential conflicts of interest within your data set. All entities related to a given company or trust can be visualised, then invert the tree to see the impact of that individual on your other entities. Simple, powerful and immediate.
Full support for FATCA / CRS
One critical task in compliance is the accurate recording and maintenance of key client data. The requirements driven by FATCA and CRS have added to that task. Data is automatically verified during client on boarding and constantly verified via Alert 360. Using system algorithms, client data is automatically analysed for FATCA / CRS relevancy. enVisual 360's export function then provides the necessary routines to report to the appropriate authorities.
LiveScan 360 - transparent sanction list scanning
LiveScan 360 screens new and existing customers for the purposes of identity verification directly from within the enVisual CRM. Perform ad hoc scans on individual names or on your entire enCentral database as a scheduled batch job.
LiveScan 360 can be implemented to screen against popular International watch list providers such as World Check, RDC, World Compliance, OFAC, UK Treasury - as well as those from other sanction list providers.
Other key features;
full batch scan with audit trail
scans can be launched from CRM entity on boarding
Storage of supporting documents provided by list providers, in audit trail
false positives database support
automated (stealth) escalation of positive hits.