At Schwab, we share a lot of the same responsibilities as you. So we understand what’s required to maintain an effective employee-monitoring program. We know that, like us, you want an easier, streamlined experience—one that demands less time and effort. With Compliance Solutions, you have a single provider delivering the technology and the support you need to handle employee-monitoring activities and help protect your organization efficiently and effectively.
Streamline the process with a more comprehensive approach.
When you work with Schwab as your designated broker and use Schwab Compliance Technologies®, you get a single, integrated source for meeting your employee-monitoring needs. Schwab is also subject to the same rules and regulations that you are, so we understand what options you need in order to have an efficient and effective compliance process. It’s a comprehensive approach that puts the full force of Schwab behind you.
Proactively guard against risks with powerful technology.
Automate a wide variety of employee-monitoring tasks using Schwab Compliance Technologies. This solution allows you to keep track of daily tasks through a case management tool; monitor personal and insider trading; manage affirmation certificates and disclosures; and track gift, entertainment, and contribution expenses.
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Reduce the risk that comes with multiple brokerage relationships.
When you narrow the number of brokerage firms you work with, it’s much simpler to detect and resolve employee-trading issues. You can also gain data efficiencies that can minimize potential breakdowns in electronic feeds. This can all add up to cost savings and fewer challenges. Below are some of the ways we integrate data into our service to you.
Expect a dedicated relationship to better meet your needs.
You’re backed by a committed team that’s with you every step of the way, from onboarding and helping you shape your program to assisting you with technical questions. It’s the kind of support that helps keep your employee-monitoring program working as it should.
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