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employee monitoring—your employees’ experience:Help employees manage their compliance responsibilities.

Compliance Solutions provides you with the tools you need to help your employees manage their compliance responsibilities efficiently. Our user-friendly technology and robust brokerage solutions help simplify the compliance experience so it’s easier for both employees and administrators.

Take a closer look at the experience:

Technology

Simplify the process to help employees stay on track with compliance.

Schwab Compliance Technologies® is designed to cut down on frustration and confusion for employees, freeing them up to focus on their daily responsibilities.

  • Help protect against trade violations with Schwab Trade Check™,* which also automates the preclearance process.
  • Keep employees on task with alerts that automatically remind them to complete certain requirements, like affirmations.
  • Simplify the process of entering gift and affirmation information and responding to questionnaires with an interface that’s easy for employees to use.

Employee-Monitoring Technology

Financial solutions

Easy online account opening facilitated by a blanket 407 letter.

Employees can easily open brokerage accounts online through your firm's custom microsite. Employee brokerage accounts are automatically liked to your firm's master account.

Reduce risks with brokerage solutions designed for easy monitoring.

Through Schwab Designated Brokerage Services, you can offer your employees a wide range of investment products, managed solutions, and services. Using Schwab for these accounts and Schwab Compliance Technologies for your compliance services allows you to proactively monitor employee trades and help prevent mistakes before they occur. Your employees also get access to deposit and lending from Charles Schwab Bank, and based on their overall relationship with Schwab may qualify for preferred pricing on lending products.

New, lower pricing1 for online equity trades and options contracts
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Satisfaction Guarantee2
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Talk with Compliance Solutions about all your options.