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
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.
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+
Corporate registry
Location registry
Staff registry
Gift and entertainment log
Co-op marketing log
Complaint and incident log
Compliance calendar
Registration management
Continuing education management
Secured messaging
Personal trading
Supervision reporting
Attestation management
Capability/Feature
VCSOpen
VCSOpen+
Corporate registry
Location registry
Staff registry
Gift and entertainment log
Co-op marketing log
Complaint and incident log
Compliance calendar
Registration management
Continuing education management
Secured messaging
Personal trading
Supervision reporting
Attestation management
Available for additional fee Can be bought as separate program
VCSPro
Staff risk scoring algo
Integration with other data sets to build 3600 review
Build your own risk scoring algo
Drill down assessment of staff location and company