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Employee Monitoring

in One Platform

Streamlined outside business activities tracking, real-time trade and crypto surveillance, and examination-ready documentation—all seamlessly integrated for FINRA Rule 3270

Track and Scan for Outside Activities

Automate employee self-submission and scan their LinkedIns

Real-Time Detection Engine

Instant trade capture and analysis

Pre-clearance violation alerts

Insider trading pattern detection

Related account monitoring

Position limit tracking

Wash sale identification

Compliance Command Center

Unified view across all employees

Real-time violation dashboard

Investigation case management

Audit trail documentation

One-click regulatory reports

Executive risk summaries

Employee Self-Service Portal

Mobile account linking (like Venmo)

Secure authentication flow

Account verification dashboard

Pre-clearance requests

Holdings disclosure

Automated reminders

Problem/Solution

The Challenge

Manual Broker Feeds Are Killing Your Compliance

❌ PDF Statement Overload

Employees email quarterly statements... sometimes. You're always months behind, manually entering trades while violations already occurred.

❌ Broker Feed Nightmares

Each broker requires custom integration taking 6-12 months. Half don't offer feeds. You're managing 20+ different formats and missing accounts.

❌ Coverage Gaps

Employees "forget" accounts. New accounts go unreported. Crypto and international holdings stay hidden. You find out during an exam.

❌ Resource Drain

Your team spends 60% of their time on data collection instead of risk detection. Manual processes can't scale with employee growth.

The Protege Solution

Employee ReviewsThat Actually Works for Compliance

✅ 5-Minute Universal Connection

Employees link accounts like connecting Venmo. Support for 100+ brokers through single integration.

✅ Up to Real-Time Trade Visibility

See trades as they happen, not months later. Instant alerts for policy violations while you can still take action.

✅ Full Account Discovery

Open banking connections finds all accounts for each broker—even ones employees "forgot." No more hidden holdings or surprise exam findings.

✅ Zero Manual Entry

Automated data flow from source to surveillance. Your team focuses on investigating real risks, not data entry.

Problem/Solution

The Challenge

Manual Broker Feeds Are Killing Your Compliance

❌ PDF Statement Overload

Employees email quarterly statements... sometimes. You're always months behind, manually entering trades while violations already occurred.

❌ Broker Feed Nightmares

Each broker requires custom integration taking 6-12 months. Half don't offer feeds. You're managing 20+ different formats and missing accounts.

❌ Coverage Gaps

Employees "forget" accounts. New accounts go unreported. Crypto and international holdings stay hidden. You find out during an exam.

❌ Resource Drain

Your team spends 60% of their time on data collection instead of risk detection. Manual processes can't scale with employee growth.

The Protege Solution

Employee ReviewsThat Actually Works for Compliance

✅ 5-Minute Universal Connection

Employees link accounts like connecting Venmo. Support for 100+ brokers through single integration.

✅ Up to Real-Time Trade Visibility

See trades as they happen, not months later. Instant alerts for policy violations while you can still take action.

✅ Full Account Discovery

Open banking connections finds all accounts for each broker—even ones employees "forgot." No more hidden holdings or surprise exam findings.

✅ Zero Manual Entry

Automated data flow from source to surveillance. Your team focuses on investigating real risks, not data entry.

Link Every Employee Brokerage and Crypto Wallet in Minutes, Not Months

Revolutionary open banking integration connects employee brokerage accounts instantly, enabling real-time trade monitoring that catches conflicts before regulators do – no more chasing PDFs or manual broker feeds.

See 5-Minute Account Linking

Digital Asset Management – Stop Hunting Through Decks. Start Finding What Worked.

See 5-Minute Account Linking

Digital Asset Management – Stop Hunting Through Decks. Start Finding What Worked.

See 5-Minute Account Linking

1,000+ brokers connected

Ad hoc trade data

5 min setup per account

Remote employee coverage

ROI Calculator Strategy:

Focuses on violation prevention and efficiency:

Higher completion rates

Reduced attestation cycle time

Labor savings from automation

Helps avoid FINRA investigations or fines
($10K-250K per violation)

ROI Calculator Strategy:

Focuses on violation prevention and efficiency:

Higher completion rates

Reduced attestation cycle time

Labor savings from automation

Helps avoided FINRA investigations or fines ($10K-250K per violation)

Calculate Your Policy
Management Savings

Your Current Process:

Number of policies/procedures:

150

100500

Average pages per policy:

550

Hours spent monthly on reg monitoring:

100

20200

100

205

Annual regulatory findings:

020

Average fine per finding:

$250K

$10K$500K

$250K

$10K$500K

Compliance team size:

150

Example Calculation (pre-populated):

Example Calculation (pre populated):

A firm with 100 procedures saves $1.8M annually in labor costs and

avoids $500K in potential fines

A firm with 100 procedures saves $1.8M annually in labor costs and

avoids $500K in potential fines

A firm reviewing 20 deals annually with 2,000 documents each saves $2.4M in labor costs and closes deals 3 weeks faster

Get Detailed ROI Report

With Protege AI:

Regulation monitoring:

Automated 24/7

Policy update time:

90% reduction

Regulatory findings:

Near zero

Team efficiency:

5x productivity

With Protege AI:

Regulation monitoring:

Automated 24/7

Policy update time:

90% reduction

Regulatory findings:

Near zero

Team efficiency:

5x productivity

Your Annual Savings:

Hours saved:

100 hours

Labor cost savings:

$10,000

Avoided fines:

$5,000

Efficiency gains:

$5,000

Total annual ROI:

1,500%

Your Annual Savings:

Hours saved:

100 hours

Labor cost savings:

$10,000

Avoided fines:

$5,000

Efficiency gains:

$5,000

Total annual ROI:

1,500%

Stop building integrations.

Start managing people risk.

Capability

ComplianceFunction

Setup Time

Data Freshness

Broker Coverage

Account Discovery

Crypto Wallets

Employee Experience

Data Accuracy

Maintenance Required

Audit Trail

Cost Structure

Time to Value

Manual PDF
Process

Ongoing monthly

30-90 days delayed

Whatever employees provide

Self-reported only

Very arduous

Quarterly emails

Manual entry errors

Constant follow-up

Scattered emails

Labor intensive

Never complete

Legacy Tool Broker Feeds

Business
Impact

Up to 6-12 months per broker

Daily batch files

10-20 major brokers,

PDF upload for everyone else

Known accounts only

Not supported

Archaic web pages

Format inconsistencies

IT resources for each

Basic logs

High setup + maintenance

12+ months

Protege Employee Monitoring

5 minutes per employee

Real-time streaming

1,000+ brokers

Automatic all accounts

Fully integrated

One-time 5-min setup,

even on mobile

Direct from source

Self-maintaining

Complete chain

Flat SaaS + Broker Charged Fees

Same day

Common Questions About
Trade Surveillance

How does open banking actually work?

Employees use their brokerage credentials to authenticate directly with their broker through our secure interface. We receive read-only access to trade data without ever seeing or storing passwords. It's like connecting Venmo.

What if our broker isn't supported?

Is this really more secure than broker feeds?

How do you handle employee privacy concerns?

Can employees disconnect accounts?

How fast do we see new trades?

We build applied AI tools for large enterprises to streamline important work.

Products

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Almanac

Resources

Documentation

Teams

Compliance

Legal

Company

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Careers

We deliver innovative solutions to help teams optimize
operational efficiency and help them meet their compliance obligations.

Products

Review

Almanac

Resources

Documentation

Teams

Compliance

Legal

Company

Pricing

Careers

We build applied AI tools for large enterprises
to streamline important work.

Products

Review

Almanac

Resources

Documentation

Teams

Compliance

Legal

Company

Pricing

Careers

Employee Monitoring

in One Platform

Track and Scan for Outside Activities

Real-Time Detection Engine

Compliance Command Center

Employee Self-Service Portal

Problem/Solution

The Challenge

Manual Broker Feeds Are Killing Your Compliance

❌ PDF Statement Overload

Employees email quarterly statements... sometimes. You're always months behind, manually entering trades while violations already occurred.

❌ Broker Feed Nightmares

Each broker requires custom integration taking 6-12 months. Half don't offer feeds. You're managing 20+ different formats and missing accounts.

❌ Coverage Gaps

Employees "forget" accounts. New accounts go unreported. Crypto and international holdings stay hidden. You find out during an exam.

❌ Resource Drain

Your team spends 60% of their time on data collection instead of risk detection. Manual processes can't scale with employee growth.

The Protege Solution

Employee ReviewsThat Actually Works for Compliance

✅ 5-Minute Universal Connection

Employees link accounts like connecting Venmo. Support for 100+ brokers through single integration.

✅ Up to Real-Time Trade Visibility

See trades as they happen, not months later. Instant alerts for policy violations while you can still take action.

✅ Full Account Discovery

Open banking connections finds all accounts for each broker—even ones employees "forgot." No more hidden holdings or surprise exam findings.

✅ Zero Manual Entry

Automated data flow from source to surveillance. Your team focuses on investigating real risks, not data entry.

Problem/Solution

The Challenge

Manual Broker Feeds Are Killing Your Compliance

❌ PDF Statement Overload

Employees email quarterly statements... sometimes. You're always months behind, manually entering trades while violations already occurred.

❌ Broker Feed Nightmares

Each broker requires custom integration taking 6-12 months. Half don't offer feeds. You're managing 20+ different formats and missing accounts.

❌ Coverage Gaps

Employees "forget" accounts. New accounts go unreported. Crypto and international holdings stay hidden. You find out during an exam.

❌ Resource Drain

Your team spends 60% of their time on data collection instead of risk detection. Manual processes can't scale with employee growth.

The Protege Solution

Employee ReviewsThat Actually Works for Compliance

✅ 5-Minute Universal Connection

Employees link accounts like connecting Venmo. Support for 100+ brokers through single integration.

✅ Up to Real-Time Trade Visibility

See trades as they happen, not months later. Instant alerts for policy violations while you can still take action.

✅ Full Account Discovery

Open banking connections finds all accounts for each broker—even ones employees "forgot." No more hidden holdings or surprise exam findings.

✅ Zero Manual Entry

Automated data flow from source to surveillance. Your team focuses on investigating real risks, not data entry.

Link Every Employee Brokerage and Crypto Wallet in Minutes, Not Months

Digital Asset Management – Stop Hunting Through Decks. Start Finding What Worked.

Digital Asset Management – Stop Hunting Through Decks. Start Finding What Worked.

1,000+ brokers connected

Ad hoc trade data

5 min setup per account

Remote employee coverage

ROI Calculator Strategy:

Higher completion rates

Reduced attestation cycle time

Labor savings from automation

Helps avoid FINRA investigations or fines($10K-250K per violation)

ROI Calculator Strategy:

Higher completion rates

Reduced attestation cycle time

Labor savings from automation

Helps avoided FINRA investigations or fines ($10K-250K per violation)

Calculate Your Policy Management Savings

Your Current Process:

Number of policies/procedures:

Average pages per policy:

Hours spent monthly on reg monitoring:

Annual regulatory findings:

Average fine per finding:

Compliance team size:

With Protege AI:

Regulation monitoring:

Automated 24/7

Policy update time:

90% reduction

Regulatory findings:

Near zero

Helps avoid FINRA investigations or fines
($10K-250K per violation)

Calculate Your Policy
Management Savings

Manual PDF
Process

Business
Impact