TECHNOLOGY SOLUTIONS FOR COMPLIANCE

One of the major challenges at every firm with surveillance requirements is managing those requirements across numerous divisions with multiple products, solutions, and resources. Technically Creative offers a flexible operational model to support and manage your regulatory demands. Backed by our extensive experience and expertise in the industry, our Technology Solutions for Compliance contain several components around the surveillance, security, and archive space to support all your compliance needs.

FULL-SERVICE
SUPPORT TEAM

Development and technical support tasks are often needed to accomplish or resolve an issue within the surveillance process. When you work with Technically Creative, you work with the whole team. A main lead technician is assigned to you to track requests and manage team resources, including developers, solution architects, technicians, project managers, technical writers, and policy/rule writers.

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SUPERVISION
INSIGHTS

Matters that occur in your firm can be explored and analyzed by one of our supervision specialists to provide insight into changes and enhancements. This includes discovery into the current supervision process and coverage to identify gaps through previous incidents. We provide guidance and documentation for enhancements or features clients can utilize to satisfy compliance surveillance requirements. Your supervision specialist can also document evidence of proper supervision that can be provided to regulators.

CUSTOM SUPPORT & SERVICES


Data Conversion

Technically Creative has experts on data analysis and research to convert your data to the necessary systems. Whether you need to move data from one system to another or convert data for ingestion into another system, TC has the experts ready to handle your needs.


Custom Integrations

Whether your integration is building a custom connector from Active Directory to your HR Oracle database, or linking your DLP and compliance system to your trading desk for a restricted list of equities or stocks, Technically Creative can meet your needs. Our expert technicians can review and understand your requirements and automate the synchronization process.


Automation and Processes

Do you have a mundane or aggravating task that you must do? Do you have a process that involves a myriad of steps you are stuck running that you wish was a simple point and click, or to even run themselves? Technically Creative has technicians who are experts in automation and coding process execution. Let us make your job easier through the simplification of processes.


IT Process Offloading

IT departments are being overwhelmed by processes that can be handed off to other departments, such as the provisioning of user accounts in active directory. As most IT personnel know, the scary part of doing this is giving elevated rights to HR to accomplish these tasks. Here at Technically Creative, rather than giving elevated rights to HR to create users, we would build a link to the system that HR uses to track staff. Instead of cross-training, elevated permissions, and overconsumption of hours by IT, Technically Creative would build a synchronization and provisioning tool that meets your specific needs.


Ad-hoc Reporting & Operational Evidencing

Reports are essential for compliance officers and managers to effectively evaluate their business operations, review completeness/timeliness, and provide vital information during an audit inquiry. Technically Creative ties in data from various systems to provide a broader

HISTORICAL SURVEILLANCE DATA SOLUTIONS

Technically Creative is the industry expert focused on supporting and maintaining your historical surveillance data to meet legacy retention and proof of supervision requirements when migrating surveillance systems. When moving to a new surveillance platform, it is important to have a thorough plan in place for your historical surveillance data. Our goal is to provide comprehensive tailored solutions to support your business during and after your surveillance migration.

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POLICY & RULE SERVICES​

Policy/Rule Refinement
& Management

Technically Creative supports tasks associated with policy/rule refinement based on your firm’s direction. Policy updates will be a collaborative effort where our support team will continually identify unique client-specific refinements necessary to reduce false positives and make refinements towards newly identified incidents in the market and business need. Within the refinement cycle, you will receive reports on all changes and recommendations on policy/rule advancements and impacts as evidence for your release. Given Technically Creative’s history and respectability throughout the industry, we can provide insight on policy/rule enhancements based on industry and peer activity.

Custom & Targeted Policy/Rule Development

To operate an effective supervision process, businesses must not only maintain and progress supervision policies and scope based on current firm activity and regulatory changes, but also be able to create targeted Quick Reaction Policies to respond to hot market news or events. We work with you to define and create targeted policies on current or past matters. Emphasis is placed on policy/rule accuracy that results in low false positives to minimize reviewer impact.

SURVEILLANCE VENDOR ASSESSMENTS

When evaluating the decision to move solutions or trying to find your potential vendor options, Technically Creative is uniquely qualified to provide full end to end process testing, evaluation, and help you provide a short list of potential vendors. Given our expertise in the industry, historical sample data, and our knowledge of the solutions on the market, we can assist from start to finish related to selecting a vendor and migrating your historical data, policies, processes, or rules to the new platform. Provide industry understanding and activity around products, industry movement, and client needs.

This Includes:

• Document Business Requirements
• RFP and Shortlist Support
• Validate POC Environments & Functionality
• Hierarchy Review & Architecture
• Workflow Advisement & Best Practices
• Report Migration
• Policy/Rule Testing & Validation

ADVANCED CUSTOM SOLUTIONS WITH
TC OVERSIGHT CONTROLS

Leading from the frontline of change and growth, TCOC is a set of fast and flexible microservices that compliment your surveillance process and work with existing business functions and systems. As a fully integrated approach to surveillance, TCOC helps your business reduce risks, costs, duplication of effort, and provide for greater efficiency.

TC DATA ENHANCEMENT TOOLS

The Technically Creative suite of Data Enhancement Controls powered by TCOC gives more power to your data and enhances your surveillance platform. The Data Enhancement Controls suite builds before, during, and after data processing by analyzing and updating your data using the latest analytics technologies and techniques.

ENRICHMENT ENGINE

The Technically Creative Enrichment Engine adds Natural Language Processing (NLP) technology integrations to enhance supervision processes with more advanced language and content integration.

ANALYTICS
ENGINE

Incorporation of an advanced relation analytics into supervision process. This includes incorporating Behavioral Analytics, cross correlation of events, and trend algorithms.

GRAPH
REPOSITORY

The Technically Creative Graph Repository takes communication and trade data then links them together for supervision purposes.

MACHINE
LEARNING

Supervision policies based on Machine Learning technologies. These policies can incorporate behavioral analytics in conjunction with previous actions and violations of the individual.