Regulatory risk often begins with employee activity, outside business interests, licensing gaps, or undisclosed conflicts. EmployeeGuard 360 helps firms monitor, document, and supervise employee-related compliance obligations across the organization.
Licensing, registration, and continuing education tracking
Outside business activity and private securities transaction monitoring
Personal trading and outside account oversight workflows
Gifts, entertainment, and conflicts disclosure management
Attestations, certifications, and annual compliance questionnaires
EmployeeGuard 360 creates structured documentation and supervisory visibility—helping firms demonstrate reasonable supervision and proactive governance.
Supervisory principals and compliance officers
HR and operations teams supporting regulated staff
Firms scaling headcount or adding remote personnel
Stronger culture. Clear documentation. Reduced individual-conduct risk.
Explore EmployeeGuard 360™ today.
Regulatory risk often begins with employee activity, outside business interests, licensing gaps, or undisclosed conflicts. EmployeeGuard 360 helps firms monitor, document, and supervise employee-related compliance obligations across the organization.
Licensing, registration, and continuing education tracking
Outside business activity and private securities transaction monitoring
Personal trading and outside account oversight workflows
Gifts, entertainment, and conflicts disclosure management
Attestations, certifications, and annual compliance questionnaires
EmployeeGuard 360 creates structured documentation and supervisory visibility—helping firms demonstrate reasonable supervision and proactive governance.
Supervisory principals and compliance officers
HR and operations teams supporting regulated staff
Firms scaling headcount or adding remote personnel
Stronger culture. Clear documentation. Reduced individual-conduct risk.
Explore EmployeeGuard 360™ today.
