The Howdy Glossary

Shield Risk Management is a software platform developed by Shield to assist financial firms in regulatory compliance and risk management, focusing on market abuse, conduct risk, and trading compliance. Utilizing AI-powered tools, it monitors employee communications across various platforms to detect suspicious behavior and policy violations. The platform centralizes data from multiple sources for comprehensive oversight of trading activities and provides real-time alerts to potential issues. It also facilitates reporting to regulatory agencies like FINRA and the SEC.

The platform offers unique features tailored specifically for financial firms' compliance needs. Its standout functionalities include AI-driven monitoring of employee communications across diverse platforms for detecting suspicious activities and policy breaches. By centralizing data across different systems, Shield enables thorough oversight of trading practices while providing immediate notifications of possible problems. Additionally, its robust reporting capabilities streamline interactions with regulatory bodies such as FINRA and the SEC, ensuring adherence to stringent requirements. These features collectively position Shield Risk Management as a comprehensive solution focused on market abuse, conduct risk mitigation, and trading compliance within the financial sector.

In a competitive landscape shared with entities like Nice Actimize, Nasdaq SMARTS, and Theta Lake—each offering similar surveillance solutions leveraging AI—the distinct advantages of Shield Risk Management lie in its specialized focus areas coupled with advanced monitoring tools. The platform's ability to centralize data for holistic oversight alongside seamless regulatory reporting underscores its suitability for banks, investment firms, asset managers, brokerage companies, and their respective compliance teams. By addressing specific industry needs effectively through these technologies, Shield stands out among competitors by empowering professionals tasked with navigating complex regulations while mitigating risks efficiently within the dynamic realm of finance.