Personal Trading Compliance Dashboard
A compliance dashboard that shows all employee preclearance activity in one place. It helps compliance teams track trading activity, see approvals and rejections, understand trade types and broker usage, and quickly spot unusual or risky behavior so rules can be enforced properly.
Client Overview
The client is a Canadian professional investment management organization whose purpose is to help provide a foundation upon which more than 22 million Canadians build their financial security in retirement.
Technical Stack
Industry
Services
Region
Canada
Project-size
Non-Disclosable
Company size
Large scale company
Implementation Highlights
Created a single automated dataset by combining preclearance logs, user details, broker data, and trade authorizations.
Built real-time KPI tracking to monitor requests, approvals, failures, cleared-not-traded cases, and trader activity.
Added trader and location insights to quickly identify high-risk behavior by office, tenure, and employee type.
Replaced manual data stitching with automated pipelines, reducing errors and speeding up compliance reporting.
Challenges & Solutions
Data was spread across disconnected systems.
Solution: Built a multi-step Prep pipeline that joins all datasets with standardized keys for clean, reliable analysis.
Compliance lacked visibility into trading outliers.
Solution: Added Top 20 views for high-activity traders, high fail %, and high-volume securities to surface red flags quickly.
Hard to track failed or abnormal behavior.
Solution: Introduced fail-rate ratios, cleared-not-traded metrics, and anomaly indicators to flag potential violations.
1000+ Projects Experienced
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8+
Years of Business
Experience
100+
Happy
Customers
15+
Countries with
Happy Customers
100+
Agile enabled
employees
Results & Impact
- Cut manual reporting time by 70% by eliminating Excel workflows.
- Improved compliance visibility with personalized filters.
- Enabled governance teams to maintain cleaner, accurate metadata.
- Gave employees one-click access to all current policies.
- Reduced lookup time to seconds through search and dynamic filters.
- Increased trust by showing only the latest approved versions.
Key Learnings & Achievement
- The solution has been documented and maintained as a structured data library and reference framework, enabling other organizations to review, follow, and replicate the implementation approach positioning it as a proven model that builds trust and encourages prospective companies to prefer and engage with us.
- Centralizing trading preclearance, employee, and broker data is essential to eliminate manual reporting silos and establish a single source of truth across compliance and risk monitoring teams. Automated KPI tracking, anomaly detection, and workflow pipelines significantly enhance cross-team oversight, ensure timely identification of risky behavior, and improve overall regulatory compliance driving stronger controls and faster, data-driven decisions.
