FIS Employee Compliance Manager

Formerly Protegent Personal Trading Assistant

Remove the obstacles of employee reporting

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The Employee Trading Compliance Solution for Organizations

FIS® Employee Compliance Manager (formerly Protegent Personal Trading Assistant) is an online self-service application that gives compliance a central location to monitor and manage employee trading activity. Employee Compliance Manager automates trade monitoring and surveillance and personal-trading compliance with regulations. It covers the full spectrum of regulatory agencies, self-regulating organizations, and a firm’s specific code of ethics and policies.

FIS Can Help

Streamline all aspects of personal dealing and employee trading compliance and encourage employee disclosure

Foster a Culture of Compliance

Leverage a centralized portal to monitor and manage employee trading activity and account disclosure

Reduce Regulatory Risk

Minimize corporate exposure with best practice technology and alerts that focus on key conflicts

Make Data-based Decisions

Modernize data to spot trends, update program goals and redefine internal reporting results

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