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Employee monitoring—your experience:Streamline the process of protecting your business.

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.

Take a closer look at the experience:

One provider

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.

Employee-Monitoring Technology

Designated Brokerage Services

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.

  • Simplified online account opening process

    Easy online account opening is available through your firm's custom microsite. Employee accounts are automatically linked to your firm's master account for streamlined monitoring.

  • Account Data Delivery Link (ADDLink) processing

    Quickly and efficiently add or remove accounts from your Charles Schwab brokerage feed directly through your Schwab Compliance Technologies platform.

  • Daily data feeds

    Custom electronic data feeds can be established for your employees’ Schwab accounts and are delivered on a nightly basis.

  • Easy data access and data management

    Our proprietary data-exchange system puts information at your fingertips, such as real-time trading activity and past statements.


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.

  • Relationship Manager

    Your Compliance Solutions quarterback who works closely with you to understand your specific employee-monitoring needs.

  • Onboarding specialists

    Your dedicated resource for helping you get up and running with Schwab Compliance Technologies as efficiently as possible.

  • Technical and service teams

    Your day-to-day support system for ongoing assistance when you need it.

The insight and knowledge you need to continue to stay ahead.

We’re committed to bringing you industry topics, tips, best practices, and updates to help you stay on top of employee monitoring matters.

Resources and events

Talk with Compliance Solutions about all your options.