Directory · Category
Conduct Risk and Complaints software in North America 14
Software for conduct risk: complaints handling, financial promotions review, consumer outcomes and communications monitoring.
14 in Conduct Risk and Complaints · North America · featured first, then A to Z
List or feature your company →Aptean
Industry-specific enterprise software that automates business processes and removes data silos, with AI features across operations.
North Americaaptean.com
→Case IQ
Case management software with an incident hotline for capturing reports and running consistent, timely investigations.
North Americacaseiq.com
→Cognitive View
AI governance and assurance platform that discovers enterprise AI and links risk, controls, evidence and agent oversight.
North Americacognitiveview.com
→Eventus Systems
Trade surveillance, market risk and algorithmic trading monitoring software covering multiple asset classes for regulated firms.
North Americaeventussystems.com
→Fairplay AI
Platform that automates the validation, testing and optimisation of AI models and agents used by financial institutions.
North Americafairplay.ai
→Four Eyes Financial
Wealth management compliance platform covering digital account opening, KYC, trade surveillance and casework for CIRO, FINRA and SEC regulated firms.
North Americafoureyes.financial
→Global Relay
Archives electronic communications and provides messaging, supervision and eDiscovery tools to help firms meet compliance requirements.
North Americaglobalrelay.com
→Hadrius
Compliance platform for financial services firms that centralises compliance work using agentic automation.
North Americahadrius.com
→NAVEX
Risk, compliance and whistleblowing software for organisations, offered through a German-language site.
North Americanavex.com
→Pegasystems
Enterprise platform that automates workflows, personalises customer experiences and modernises legacy systems, including for case and complaints handling.
North Americapega.com
→Red Oak
Compliance software for RIAs and broker dealers covering advertising review and communications surveillance.
North Americaredoak.com
→Saifr
Software that supports compliance teams with conduct risk and complaints handling.
North Americasaifr.ai
→StarCompliance
Employee compliance software that monitors conflicts of interest and supports regulatory obligations for financial firms.
North Americastarcompliance.com
→Verint
Contact centre platform combining workforce engagement, agent assist, AI agents and customer experience analytics within customer service workflows.
North Americaverint.com
→
