Automate compliance. Eliminate the disclosure gap.

The challenge

Personal account dealing and conflict-of-interest programs are among the most operationally intensive compliance functions in regulated industries. Pre-clearance requests, outside-business-activity filings, gift-and-entertainment approvals and investment disclosures are managed through forms, email chains and spreadsheets — creating inconsistency, undetected gaps and an audit trail that doesn't hold up under regulatory scrutiny.

How Behavox solves it

Compass automates the full PAD and COI lifecycle — from pre-clearance request to policy-based approval or denial, employee disclosure, post-trade monitoring and audit reporting — with structured workflows, automated policy application and a complete, searchable record of every compliance decision.

Capabilities

• Pre-clearance workflow — policy-driven approval or denial against restricted lists, watch lists and role restrictions; automated, not manually reviewed.
• COI disclosure management — outside business activities, gifts and entertainment, political contributions — captured through guided structured forms, not free-text email.
• Post-trade monitoring — verify completed personal trades match pre-cleared instructions.
• Employee-facing interface — simple, guided disclosure and pre-clearance requests that raise compliance rates and reduce support burden.
• Audit-ready reporting — full history of every disclosure, approval, denial and exception, exportable for examination without manual assembly.

Business outcomes

• Pre-clearance turnaround reduced from days to hours through automated policy application.
• Disclosure gaps eliminated through mandatory structured workflows replacing ad-hoc email.
• Exam preparation time reduced — every decision is searchable and exportable from day one.

Proof

Powered by Behavox Compass, built on the platform trusted by 120+ institutions and connected to the behavioural data inside Quantum and Polaris.