Departing Employee Risk Analysis for Banks and Broker-Dealers
Manage transitions and meet regulatory obligations with fast, expert-led analysis.
Protect sensitive financial data and maintain compliance during employee transitions. Investigate misconduct and manage legal and governance challenges with experienced professionals who understand industry regulations and operational needs.
Key Features
Minimize risk and ensure compliance when brokers leave by acting quickly to secure data and assess potential violations. Maintain audit-ready documentation to support regulatory inquiries and internal investigations with speed and precision.
- Ensure a secure and legally compliant employee transition while safeguarding sensitive information.
- Detect data misuse or violations like collusion or contractual breaches with a turnkey AI process completed in two days.
- Support enforcement of non-solicitation and confidentiality agreements with defensible evidence and expert analysis.
Maintain audit readiness and reduce exposure during employee transitions. Meet regulatory expectations and respond confidently to inquiries. Strengthen your compliance posture with workflows designed to align with financial industry regulations.
- Preserve and review communications in line with SEC, FINRA, and CFTC requirements.
- Surface misconduct and data misuse with defensible forensic and document review workflows.
- Support internal investigations with timely access to key facts and structured reporting.
- Build skills in AI implementation by partnering with experts to oversee the testing and tuning of AI applications to meet your department’s specific needs.
- Amplify the benefits of investments in AI by using an iterative development methodology to deliver greater ROI.
Take control of departing broker risk.
Why Banks and Broker-Dealers Trust Epiq
- Enhance your compliance strategy by collaborating with a team honored as Microsoft’s Global Compliance Partner of the Year in 2023.
- Tackle complex regulatory and white-collar matters with a global investigations team that has supported over 1000 engagements.
- Safeguard financial data using infrastructure that includes ISO/IEC 27001:2013 certified data centers in the US, Europe, and Asia.
