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WealthGen: Transaction Processing

Eliminating manual procedures for processing direct and indirect orders is critical for successful compliance and supervisory functions.  Our Transaction Management System (TMS) provides a centralized automated portal for your REPS and internal staff to enter, track and report on all direct transactions.

Fully integrated with our Branch Supervisory module, Transaction Processing automates entry and tracking of orders while providing critical workflows and validations to ensure proper suitability, licensing and compliance procedures are followed.

  • User friendly, Integrated portal for entering and validating direct orders by REPS
  • Integrated with BMS to validate Branch/REP information
  • Secure access to relevant information for each REP
  • Central repository for all orders entered by REPs
  • Captures Client data and Suitability information
  • Validates Licensing, Investment Objectives and other FINRA required supervisory actions
  • Automatically generates required paperwork for different types of investments
  • Integrated with Blotter management for operational workflows
  • AI driven features for fraud detection
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