Staff Dealing

Reconcile staff broker statements against pre-clearance approvals and automatically flag any trades that breach your personal account dealing policy.

What it does

The Staff Dealing app closes the loop on personal account dealing compliance. Staff submit broker statements; the platform reconciles every executed trade against the pre-clearance log, checks holding periods, restricted list status, and internal policy rules, and flags any breach for compliance review.

Manual reconciliation of staff broker statements is one of the most time-consuming low-value tasks in a compliance team's month. This app eliminates it.

Key capabilities

• Broker statement ingestion. Upload broker confirmation PDFs or CSV exports. The platform parses trade data automatically across major brokers.
• Pre-clearance matching. Each executed trade is matched against your pre-clearance approval log. Trades without approval, or executed outside the approved window, are flagged immediately.
• Restricted list enforcement. Trades in securities on your firm's restricted or watch list are flagged regardless of pre-clearance status.
• Holding period checks. Minimum holding period breaches are detected automatically.
• Policy-grounded flags. Each breach references the specific clause of your Personal Account Dealing Policy it violates.
• Monthly reconciliation report. A complete reconciliation summary — all trades reviewed, flags raised, and dispositions — ready for the compliance committee.

Typical workflow

1. At the start of each reconciliation period, staff are prompted to submit their broker statements.
2. Statements are uploaded (or pulled via integration) and parsed automatically.
3. The platform runs the reconciliation: pre-clearance match, restricted list check, holding period check.
4. Any breach is surfaced as a case for compliance review, with the trade detail and the policy clause it breaches.
5. Compliance officer reviews, contacts the staff member if needed, and closes each case.
6. Monthly summary report is generated for the compliance register.