Proactive Compliance

Proactive Compliance refers to the best practice of applying an anticipatory, change-oriented, and self-motivated approach towards industry regulations and compliance standards. The goal of Proactive Compliance is to identify potential problems before they become realities, and to preemptively implement the necessary countermeasures.

There are many benefits to Proactive Compliance:

  • Protect operations from fraud and risk
  • Detect potential risks and breaches before they can negatively impact business
  • Improve operational visibility
  • Lower risk of penalties
  • Save time that would otherwise be spent taking corrective measures

Promoting a culture of compliance in your organization improves your brand to potential customers and encourages ethical, forward-thinking, and self-initiated behavior from your employees.

It also allows for improved efficiency by empowering compliance officers with fast, powerful tools that can reconstruct trade communications, monitor all channels, create management overviews, spot trends, and analyze emerging risks.

Leading solutions boast the following benefits:

  • Compliance officers and fraud investigators can search large amounts of data by applying contextual cues and smart logic options
  • A single interface is available to search and review interactions from all media types, including voice, text, email, and social media
  • Investigators are able to reconstruct trade communications as they happened, regardless of channel, and correlate the transactions and recordings so they are searchable by trade
  • Trades and interactions are automatically monitored in real time, issuing alerts when non-compliance and fraud risk are detected


Tags: Compliance Consulting Services Dodd-Frank Act Financial Compliance Proactive Compliance