BD: Compliance & Supervision

Is keeping up with compliance requirements taking up your valuable time?

Nexus ensures that requirements are met and executed in a compliant way.

Automating compliance and supervision requirements

The regulatory and compliance requirements have long been a challenge to company resources for the modern Broker-Dealer. The operational tasks often detract from time better focused on creating financial value and developing relationships with clients. The regulatory demands change quickly and mistakes could have many consequences.

In anticipation of these demands, the Nexus platform’s compliance and supervision modules are powered by a sophisticated, built-in WSP protocols that provide for an integrated and automated day-to-day compliance capability. The result is a more holistic and comprehensive compliance approach with more consistent detailed monitoring capability than can be achieved via “typical” spreadsheet monitoring often used by many financial services firms. This capability can also eliminate the need for additional staff to handle compliance issues, thus saving resources.

Accountability and transparency

The Nexus environment empowers the back office to focus on maintaining SEC, State and/or Federal compliance, to streamline tasks and responsibilities, and support the Registered Representative in maintaining their duties as required by Reg BI. The reports center contains over 150 types of reports ready to use for tasks such as day-to-day business to preparation for various audit scenarios. The user management system gives the back office unparalleled granularity in controlling the users’ experience.

Experience Nexus

Smart productivity that yields value for financial services firms and staff.

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  • WSP enforcement
  • AML capabilities (FinCen OFAC, KYC)
  • Surveillance exceptions and reporting
  • Branch audit reporting
  • Check, signature and securities blotter systems
    • Reverse churning
    • Active trading
    • Leveraged holdings
    • Possible mutual fund switches
    • Asset concentration alerts
    • Risk tolerance/performance mismatches
    • 2440 Stock Proceeds


  • Risk-based transaction review P&S blotter (Smart Blotter™)
  • Firm-defined transaction coloring
  • Extensive firm-defined transaction review and assignment capabilities
  • Payment hold ability during transaction while supervision occurs
  • Support for pre-approved orders
  • FINRA license check on every transaction
  • Transaction review can be assigned to anyone
    • municipal principals vs. transaction supervisors
  • Reg BI management


  • 150+ standard reports accessible to Reps
  • Configurable views with arbitrary column and group selections
  • Customized reports per back office’s request
  • Connections to business intelligence reporting software such as PowerBI