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Employee monitoring:Protect your business and your employees.

Proactively help protect your business and your employees with a comprehensive approach to employee monitoring from Compliance Solutions.

One source for helping you meet your employee-monitoring needs.

Efficiently managing the administration of your firm’s Code of Ethics is a critical component of your employee-monitoring program—it’s something we understand very well as a leading corporation in the financial industry. That’s why we focus on providing you with a robust offering that includes time-saving compliance technology, designated brokerage services, and financial services for employees. It’s all part of Compliance Solutions’ comprehensive approach to helping you build a strong ethical culture and stay on top of employee-monitoring responsibilities.

How Compliance Solutions can help you.

Solutions and insights for today's compliance environment.

Compliance is a dynamic industry. Here are a few of our latest resources to help you stay informed and one step ahead, including videos from our 2017 Compliance Solutions National Conference.

Product Information

  • Personal Trading

    Learn about the powerful technology that helps you simplify the process of monitoring employees' trading activity, including Schwab Trade Check™.2

  • Vendor Management

    Maintain the same high standards you hold your organization and employees to with your third-party providers.

  • Affirmations, Certifications, and Disclosures

    See how this centralized tool helps you effectively manage the process for employee affirmations, certifications, and disclosures.


Talk with Compliance Solutions about all your options.