Leo provides a framework that simplifies compliance, reduces risk, and drives operational efficiency for SEC-registered advisers, broker-dealers, wealth managers and other financial firms.
We offer all core compliance functions, including AML, governance, policies and procedures, full audit trail, monitoring, training, and exam readiness.
Choose Leo as a solution to bring structure to their record keeping, approval processes, and regulatory reporting deadlines.
With Leo, you benefit from a centralized platform, accessible by employees and management, where all compliance work can be tracked with ease.
Our clients enjoy the configurability, which allows them the flexibility and control they need to operate efficiently.
Our dedicated support team are on hand to ensure a user-friendly experience!
Create and oversee your compliance monitoring program using our intuitive and configurable workflows, tailored to your firm’s regulatory requirements.
Our solution automatically identifies areas of concern, including any potential or actual regulatory violations or departures from industry best practices. Let Leo maintain comprehensive records of your effective policies and proactive risk management efforts.
Leo streamlines the collection of employee compliance attestations and approval workflows, including personal trading, gifts and entertainment and more. All workflows are configurable to align with your firm’s policies and procedures. With Leo, you will automate the workflows, eliminating the need to follow-up with employees.
Train all your employees in just a couple of clicks. Quick and easy-to-follow online training courses covering AML, Conflict of Interest, Cybersecurity and more. Ensure your employees are fully trained and up to date with current regulations.
Leo provides you with a holistic due diligence platform, available for customer onboarding (CDD), operational evaluation (ODD) or service provider diligence. The suite of solutions benefits from industry-leading KYC/KYB screening to identify AML risks such as adverse media, sanctions and PEPs; as well as ID and Address Verification. This ensures you can perform all onboarding procedures in one platform, cutting out email threads, word documents and spreadsheets.
