Proactive Compliance

Fighting Fraud and Blocking Breaches

Connected technologies have created new channels for financial trading. Today’s trades take place not only by landline but by mobile phone, email, text and instant messaging, chat and social media. Yet internal and external regulations and rules, such as the Markets in Financial Instruments Directive (MiFID) in Europe and Dodd-Frank in the U.S. still apply—now more than ever. NICE Proactive Compliance monitors interactions across all these channels, keeping fraud at bay and ensuring regulatory compliance in real time. NICE Proactive Compliance also automatically detects potential risks and enables compliance officers to see emerging trends so that future compliance breaches and fraud can be averted.


 Proactive Compliance

NICE Proactive Compliance includes three modules:  

  • Explore – Helps compliance officersand fraud investigators to efficiently and effectively search huge amounts of data, applying contextual cues and smart logic options to finding interactions. It also offers a single interface to search and review interactions in all media, including voice, SMS, email and social media.
  • Discover – Enables investigators to reconstruct trade communications via the different channels as they happened over time, and to correlate transactions and recordings thereof so they are searchable by trade. The multimedia player graphically depicts the interactions, synchronized in time, and highlights the relevant parts. By zooming in on highlighted details, interactions can be explored to discover fraud and risk potential.
  • Observe – Automatically monitors trades and interactions in real time, issuing alerts when non-compliance and fraud risk are detected. This proactive module learns as it monitors for risk factors, and its fully interactive Compliance Dashboard reveals current topics and trends, highlighting communications or individuals of possible interest.












NICE Proactive Compliance enables global financial institutions to:

  • Minimize fraud and risks by monitoring all interactions and flagging potential breaches
  • Decrease penalties by automating risk analysis, management and mitigation
  • Improve efficiency by empowering compliance officers with fast, powerful tools










NICE Proactive Compliance enables compliance officers to…


  • Capture all relevant trading interactions
  • Reconstruct trade communications
  • Monitor all communication channels, applying the same rules
  • Create management overviews and spot trends
  • Analyze and understand emerging risks






Dodd-Frank Trading Floor ComplianceDodd-Frank Trading Floor Compliance
Enabling trading floors and financial institutions to comply with recordkeeping rules in the Dodd-Frank act