Solutions

Proprietary Solutions That Decrease Costs, Improve Compliance

VigilantCS offers two proprietary platforms –VCSOpen and VCSOpen+ – that enable cost-effective compliance and provide improved controls and analytics to reduce staff conduct risk. Our unique solutions:

  • decrease costs
  • deliver tangible business insights
  • foster an enhanced compliance culture
  • improve regulatory compliance and risk mitigation

VigilantCS also offers a third solution, VCSPro, that is supported by algorithms and is based on behavioural factors and academic research completed by the company’s behavioural scientist. VCSPro is driven by insights from FINRA and SEC datasets and in-depth conduct risk research. It offers analytics and advanced management reporting to assess staff, location and corporate conduct risk.

VCSOpen

  • Empowers organizations to better administer and manage core
    staff compliance requirements.
  • Uses either VigilantCS data capture modules or integrates with
    existing corporate platforms through our API architecture.
  • One central staff-facing portal for efficiency.
  • Automatically updated.
  • Flexible design to incorporate various regulatory regimes and
    jurisdictions.

 

VCSOpen+

  • Offers all functionality and features of VCSOpen
  • Also includes: registration management, continuing education (CE) management, secured messaging, personal trading tracking, supervision reporting
  • Available fall 2019: attestation management

 

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VCSPro

  • Enables development of staff conduct risk ranking and regulatory
    risk.
  • Executive compliance dashboard to assess enterprise, branch and
    staff compliance health drilling down to core issues.
  • Dynamic reporting sourced through VCSOpen or third-party data
    sets.
  • Provides targeted, evidence-based mitigation, cost savings,
    improved internal controls and enhanced staff-level accountability.
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VCS Solutions – Capabilities & Features Summary

VigilantCS is an innovative producer of proprietary digital platforms that cost-effectively manage and monitor conduct risk and staff-level compliance. VigilantCS offers three unique solutions.

VCSOpen & VCSOpen+

  • Cost-effective compliance
  • Improved controls and analytics
  • Reduces staff conduct risk

VCSPro

  • Behavioural algo and analytics platform
  • Driven by insights from FINRA, SEC datasets, in-depth conduct risk research

VCSOpen

VCSOpen+

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Corporate registry

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Location registry

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Staff registry

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Gift and entertainment log

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Co-op marketing log

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Complaint and incident log

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Compliance calendar

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Registration management

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Continuing education management

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Secured messaging

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Personal trading

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Supervision reporting

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Attestation management

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Capability/Feature

VCSOpen

VCSOpen+

Corporate registry

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Location registry

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Staff registry

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Gift and entertainment log

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Co-op marketing log

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Complaint and incident log

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Compliance calendar

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Registration management

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Continuing education management

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Secured messaging

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Personal trading

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Supervision reporting

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Attestation management

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Available for additional fee Can be bought as separate program

VCSPro

Staff risk scoring algo

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Integration with other data sets to build 3600 review

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Build your own risk scoring algo

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Drill down assessment of staff location and company

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