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About

FIS Trading Compliance Manager is a multi-asset, web-based regulatory surveillance and compliance solution designed to help sell-side financial firms detect, monitor, and manage potential trading violations throughout the full order lifecycle by combining alerts with comprehensive market and client data. It provides end-to-end trade surveillance, regulatory reporting, and supervisory controls to support daily review, post-trade analysis, best execution monitoring, and compliance with standards like RegNMS, RegSHO, market manipulation rules, and data requests such as Electronic Blue Sheets (EBS) and OATS, all from a unified, permission-controlled platform that enhances oversight while reducing risk and manual effort. By offering a complete view of orders and trading activity, robust alerting, and integrated data warehousing, the system helps firms streamline compliance workflows, improve execution data quality, support management reporting, and mitigate reputational risk.

About

Greenboard is a cloud-based, AI-powered platform that acts as a unified operating system for regulatory compliance under the SEC and FINRA for financial firms. It consolidates what are often multiple fragmented tools into a single dashboard that handles archiving and communications supervision, firm- and employee-level compliance workflows, third-party/vendor compliance, marketing content reviews, trade-testing, and books/records management, and full audit-ready recordkeeping. Leveraging its built-in “Greenboard Go” AI engine, which connects to all firm data, it automatically scans for risks, flags compliance issues, and helps enforce consistent internal policies. Its interface and architecture are designed with usability and security in mind, featuring role-based permissions, enterprise-grade data infrastructure, and SOC2-Type 2 compliance to ensure data privacy and regulatory defensibility.

Platforms Supported

Windows
Mac
Linux
Cloud
On-Premises
iPhone
iPad
Android
Chromebook

Platforms Supported

Windows
Mac
Linux
Cloud
On-Premises
iPhone
iPad
Android
Chromebook

Audience

Compliance officers and trading supervision teams who need a comprehensive platform to monitor trading activity, enforce regulatory rules, and manage trade compliance

Audience

Financial firms looking for a solution to manage SEC/FINRA compliance, automate oversight, and maintain audit-ready recordkeeping across all functions

Support

Phone Support
24/7 Live Support
Online

Support

Phone Support
24/7 Live Support
Online

API

Offers API

API

Offers API

Screenshots and Videos

Screenshots and Videos

Pricing

No information available.
Free Version
Free Trial

Pricing

No information available.
Free Version
Free Trial

Reviews/Ratings

Overall 0.0 / 5
ease 0.0 / 5
features 0.0 / 5
design 0.0 / 5
support 0.0 / 5

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Review this Software

Reviews/Ratings

Overall 0.0 / 5
ease 0.0 / 5
features 0.0 / 5
design 0.0 / 5
support 0.0 / 5

This software hasn't been reviewed yet. Be the first to provide a review:

Review this Software

Training

Documentation
Webinars
Live Online
In Person

Training

Documentation
Webinars
Live Online
In Person

Company Information

FIS
Founded: 1968
United States
www.fisglobal.com/products/fis-compliance-suite/fis-trading-compliance-manager

Company Information

Greenboard
Founded: 2023
United States
www.greenboard.com

Alternatives

Alternatives

Validus

Validus

Eventus
TradingHub MAST

TradingHub MAST

TradingHub

Categories

Categories

Integrations

No info available.

Integrations

No info available.
Claim FIS Trading Compliance Manager and update features and information
Claim FIS Trading Compliance Manager and update features and information
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Claim Greenboard and update features and information