Making sense of all the noise
GRSS supplies regulated firms with experienced compliance monitoring specialists who analyse and filter the output from surveillance and compliance systems.
If you are a Compliance Officer, who wants to buy a surveillance system or already has one, but you worry that it takes too much time to use it properly, then call us, and our expert team can support and streamline your operations.
GRSS is not a systems vendor nor a part of one. We are neutral, specialist-managed compliance surveillance as a service organisation that works closely with a firm’s compliance officer to optimise the surveillance activities of that firm.
GRSS does not provide a specific system. We can use a wide range of third-party systems available in the marketplace.
Specialist Assistance with Surveillance.
We are not a general compliance consulting firm.
Our highly skilled team can assist your firm to manage the output from your surveillance system.
We analyse and filter the output from surveillance systems, presenting the compliance officer with actionable reports and ensuring that these systems are properly utilized and that their results are suitably reviewed and considered.
Do You Monitor Email, PA Dealing & Investment Transactions?
To identify market abuse and other financial crimes, it is clear that the FCA expects that regulated firms have systems and processes in place to identify or at the very least deter abuse. The FCA has not defined the exact processes required, but it expects an ongoing and effective compliance monitoring programme to include the active surveillance of:
- staff members’ personal account transactions (and any related parties, e.g. spouses, kids);
- staff members’ email and other electronic communication; and
- the firm’s investment transactions.
How can we help?
We are experts in our field and can provide invaluable knowledge and services to the entire Financial sector. Get in touch to discuss your needs.