Financial institutions today are under increased pressure to address requirements of governance, risk, and compliance (GRC) programs, introducing challenges in ensuring the compliance of back office operations with regulations and policies.
For example, consider the following scenarios:
- Managing exceptions to reporting regulations set by securities agencies such as the NASD and the FSA
- Detecting and reporting exceptions in post trade confirmations
- Monitoring SWIFT and FIX messages, and matching buy and sell orders with correspondent bank acknowledgements
Answering the needs of back office transaction compliance demands a new style of composite business applications, which facilitates visibility, control, and activity management with real-time exception detection, and integration across heterogeneous information silos, individuals and teams.
Attunity InFocus for Trade and Portfolio Compliance
Attunity InFocus facilitates transaction compliance by enabling managers to pro-actively detect back-office transaction exceptions, and respond to such situations while providing a detailed audit trail.
With InFocus, users leverage high-impact applications that capture transaction compliance exceptions, provide seamless access to information from heterogeneous systems, enable “in-context” collaboration, and deliver end-to-end activity management, improving back-office transaction compliance.
The following diagram depicts the main components of the InFocus solution:
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