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

Features Section

Subhead

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.

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.