List of FIS Trading Compliance Manager Customers
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United States
Since 2010, our global team of researchers has been studying FIS Trading Compliance Manager customers around the world, aggregating massive amounts of data points that form the basis of our forecast assumptions and perhaps the rise and fall of certain vendors and their products on a quarterly basis.
Each quarter our research team identifies companies that have purchased FIS Trading Compliance Manager for AML, Fraud and Compliance from public (Press Releases, Customer References, Testimonials, Case Studies and Success Stories) and proprietary sources, including the customer size, industry, location, implementation status, partner involvement, LOB Key Stakeholders and related IT decision-makers contact details.
Companies using FIS Trading Compliance Manager for AML, Fraud and Compliance include: Wells Fargo, a United States based Banking and Financial Services organisation with 205198 employees and revenues of $83.70 billion, Stifel Financial, a United States based Banking and Financial Services organisation with 8892 employees and revenues of $4.33 billion, BNP Paribas Securities Corp., a United States based Banking and Financial Services organisation with 612 employees and revenues of $438.0 million and many others.
Contact us if you need a completed and verified list of companies using FIS Trading Compliance Manager, including the breakdown by industry (21 Verticals), Geography (Region, Country, State, City), Company Size (Revenue, Employees, Asset) and related IT Decision Makers, Key Stakeholders, business and technology executives responsible for the software purchases.
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| Logo | Customer | Industry | Empl. | Revenue | Country | Vendor | Application | Category | When | SI | Insight | Insight Source |
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BNP Paribas Securities Corp. | Banking and Financial Services | 612 | $438M | United States | FIS Global | FIS Trading Compliance Manager | AML, Fraud and Compliance | 2016 | n/a | In 2016, BNP Paribas Securities Corp. implemented FIS Trading Compliance Manager to address AML, Fraud and Compliance requirements across its trading operations. The deployment targeted Equities, Derivatives and Prime Services business lines and covered desks including Single Stock, ETF, DMA, Security Lending, Delta One and Index Sales and Trading. FIS Trading Compliance Manager was configured to provide real-time trade surveillance, rule-based market abuse detection, and case management workflows aligned to trade reporting and best execution oversight. Configuration work emphasized alerting, automated data mining style workflows for trading books and records, and policy-driven market access controls consistent with trading compliance use cases. The FIS Trading Compliance Manager deployment operated alongside the firm’s Protegent surveillance platform and integrated with front-office trading books and records to support regulatory reporting regimes referenced by compliance staff such as TRACE and OATS. Data feeds and surveillance outputs were routed to centralized monitoring queues to support daily inquiries and program development by trade surveillance teams. Governance for the implementation placed compliance ownership within operating committees and the Best Execution Committee, with compliance leads advising on CAT, SEC Rule 606 amendments, MiFID II and market abuse initiatives. Operational processes were formalized to establish escalation paths and daily inquiry workflows between compliance, trading desks and trade surveillance, embedding the FIS Trading Compliance Manager into the firm’s compliance control framework. | |
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Stifel Financial | Banking and Financial Services | 8892 | $4.3B | United States | FIS Global | FIS Trading Compliance Manager | AML, Fraud and Compliance | 2016 | n/a | In 2016, Stifel Financial implemented FIS Trading Compliance Manager to provide institutional trade surveillance and regulatory reporting capabilities for its compliance organization. The deployment addressed the AML, Fraud and Compliance category and was scoped to enable daily monitoring of Equities and Options transactions executed by the firm’s institutional clients. The implementation leveraged Protegent Trading Compliance capabilities within FIS Trading Compliance Manager to centralize alert generation and provide a dashboard UI for Product Control and Oversight. Functional components included daily transaction surveillance for equities and options, an entitlement driven dashboard for alert triage, and automated alert handling designed to eliminate manual queue management by the PCO team. Data orchestration and ETL work were core to the technical architecture, using PowerCenter 10.1.1, SSIS, PL/SQL, MS SQL Server 2017 and 2014, and Oracle 11g for extraction, transformation, and storage. Jobs were automated and scheduled with Autosys R11 and shell scripting, with email notifications configured for failures, and SSRS reports created and scheduled for business users. The delivery included high level and low level technical design, unit testing, and artifacts tracked in JIRA. Operational coverage focused on the Compliance group and Product Control and Oversight workflows, with role based entitlements governing dashboard access and daily alert reviews. Project governance produced formal documentation including data validation, unit test case, technical design, migration request, and knowledge transfer documents, and removed manual alert management responsibilities from the PCO team. | |
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Wells Fargo | Banking and Financial Services | 205198 | $83.7B | United States | FIS Global | FIS Trading Compliance Manager | AML, Fraud and Compliance | 2018 | n/a | In 2018 Wells Fargo & Company implemented FIS Trading Compliance Manager to support AML, Fraud and Compliance for institutional equities and options trading compliance and regulatory reporting. The deployment targeted trading compliance workflows across Wells Fargo Financial Services and Wells Fargo Advisors, aligning the application with business, compliance, and technology stakeholders responsible for trade surveillance and reportable-event submission. The implementation configured FIS Trading Compliance Manager with modular capabilities common to trading compliance platforms, including regulatory reporting engines, trade surveillance rule sets, data validation and reconciliation routines, and audit trail generation for CAT style submissions. Configuration work included mapping FIX protocol message elements and transaction metadata to the application’s reporting schema, and establishing regression testing and UAT validation cycles for incremental vendor sprints. Integrations centered on downstream regulatory channels and internal trading feeds, with explicit coordination for Consolidated Audit Trails System connectivity and for managing FINRA rejects and error rejection feedback. Operational tooling and process integrations included JIRA for daily analysis task workflows, and structured escalation to the vendor customer experience team for production issues, with tracking until resolution. Governance and rollout emphasized cross-functional coordination between business, compliance and technology teams, UAT validation of enhancements and sprint features, and creation of linkage feedback metrics to surface error rejection patterns to stakeholders. The implementation approach institutionalized regression testing, issue escalation and traceability for vendor regulatory reporting application sprints, and standardized workflows for identifying potential regulatory reporting violations prior to production releases. |
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