compensation-management-audit
Compensation-Mnagement-Audit-SP

AUTOMATED ADVISORS BACK OFFICE

Sales Audit & Compliance

Monitoring and interception of potential irregularities in sales organisation that could bring operational risks, financial losses and reputation damage to the Financial Institution.

Business Capabilities

SALES AUDIT & COMPLIANCE

AUDIT MANAGEMENT
Intercepting sales atypical behaviours which may affect firm’s reputation or increase operational and capital risk

REPORTING
A wide range of reporting including a focus on every agent, benchmarking analysis and a tableau de bord with the overall sales network risk

Features

A large number of heuristic indicators of irregularity, obtained by the combination of clients data and their transactions, is signalled to compliance personnel

Complete workflow of analysis and deep inspection for each case

Reporting, benchmarking analysis and overall sales network’s risk

Available also for Insurance sales network

Detailed information and scores for each sale/agent

Key Benefits

Objective evaluation enabling to focus on the most important actions and priorities

Mitigation of operational, reputational and capital risks

Reduction of customer complaints

Compliance to regulatory requirements

High level of parametrisation

Minimisation of human interventions

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