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.

Current market volatility represents unprecedented times for employers and employees to navigate. Learn more about Schwab's perspective, and resources available for you and your employees.

Circle graph with "Compliance Solutions" in the middle of the circle and "Designated brokerage services," "Employee-monitoring technology," and "Employee financial wellness" on the outside of the circle. Circle graph with "Compliance Solutions" in the middle of the circle and "Designated brokerage services," "Employee-monitoring technology," and "Employee financial wellness" on the outside of the circle. Circle graph with "Compliance Solutions" in the middle of the circle and "Designated brokerage services," "Employee-monitoring technology," and "Employee financial wellness" on the outside of the circle.

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.

  • Comprehensive approach.

    • Work with a single provider who understands your unique business situation and can provide you with an integrated employee-monitoring solution that ultimately can save you time, effort, and resources.
    • Rely on a dedicated Relationship Manager and support teams for ongoing assistance whenever you need it.
    • Gain knowledge and expertise from industry experts through events, seminars, white papers, and more.
  • How we help your employees.

    • Simplify employee tasks with Schwab Compliance Technologies' intuitive, web-based interface.
    • Easy online account opening facilitated by a blanket authorization letter.
    • Offer employees a broad range of financial services, including brokerage and banking solutions, to meet their ongoing needs.
  • Powerful solutions—Schwab Compliance Technologies®.

    • Save time by automating a wide variety of employee-monitoring tasks.
    • Use Schwab Trade Check™1 to alert you to potential trading violations before they happen.
    • Quickly and easily generate reports.
    • Feel confident about the protection of your information with the security of our SOC2 Type II report.

Contact

  • Talk with Compliance Solutions about all your options.