Leo RegTech
Leo RegTech is a compliance technology company that offers an all-encompassing platform designed to simplify compliance workflows, reduce risk, and enhance operational efficiency for financial services firms. Their solutions include compliance monitoring, employee compliance management, online training, and due diligence processes, all integrated into a centralized, configurable platform that replaces traditional tools like Word and Excel. Leo RegTech serves a diverse clientele, including SEC-registered advisers, broker-dealers, wealth managers, and other regulated financial firms, providing them with the flexibility and control needed to operate efficiently while ensuring adherence to regulatory requirements.
Features
- Compliance monitoring with intuitive, configurable workflows tailored to regulatory requirements
- Employee compliance management, streamlining attestations and approval workflows
- Online training courses covering AML, conflict of interest, cybersecurity, and more
- Holistic due diligence platform for customer onboarding, operational evaluation, and service provider diligence
- Centralized platform accessible by staff and management for easy tracking of compliance work
- Configurable workflows that align with firm-specific policies and procedures
- Dedicated support team ensuring a user-friendly experience
Categories
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