Discover the features that have established EAGLE EYE as a dependable compliance partner for over 15 years.

Issues Facing Compliance Officers Today:
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  • Advisors with unauthorized or undisclosed social media sites.
  • Advisors with unapproved or undisclosed outside business activities.
  • Registered advisors not disclosing what they're putting online.​
EAGLE EYE eliminates time-consuming, ineffective, manual search processes with easy-to-use workflows and automated documentation. It uncovers and reduces compliance and “failure to supervise” risks while demonstrating to regulators your firm has a formalized internet supervision program in compliance with FINRA and SEC rules.

Review Once Workflows

EAGLE EYE only brings you new results that are worthy of your attention. Our easy-to-use workflows allow you to efficiently review dozens to hundreds of results in minutes while sharing findings across your organization. EAGLE EYE can customize your workflows without incurring any additional charges or fees.
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Many of our clients have found that with EAGLE EYE they cut their workload by 80%.

Risk-Based Reviews

Advisors vary in their level of web presence, with some having aggressive profiles on multiple sites while others have a moderate or non-existent presence. This creates a challenge for large firms that need to monitor a large number of advisors to manage the associated risks effectively. 

​EAGLE EYE allows you to customize your approach and address issues before regulatory discovery or examination. 

Secretary of State Searches

EAGLE EYE searches across all 50 states for corporate registrations associated with your advisors. These reviews are integrated into EAGLE EYE’s workflow, allowing you to view findings across your organization.

Rules Engine

By controlling the content and actions that trigger workflow events, EAGLE EYE’s Rules Engine empowers clients to customize critical reviews according to their internal processes. This enables clients to tailor their reviews to their specific needs.

Automated Documentation

EAGLE EYE has everything you need, including when a result was found, who reviewed it, comments made, and time stamps on every action taken.
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From a regulatory point of view, with EAGLE EYE you will have the full story of what content looked like at the time of review, giving you everything you need to respond to a regulator.

Relevant Results

EAGLE EYE is equipped with advanced intelligence that effectively sifts through the clutter of the web, presenting only the most pertinent results for your consideration in an easy-to-read dashboard. With our dynamically designed algorithms and multi-query processes, you can expect search outcomes for you to review quickly.

Automatic Escalation Process

If a compliance issue is identified, our customizable workflow will initiate an automatic escalation process, ensuring it is promptly reviewed, tracked, and thoroughly documented until a resolution is achieved.

Bundling Technology​

EAGLE EYE's Bundling Technology can identify matching reviews throughout the system and consolidate them into a single review, resulting in increased efficiency throughout the process.

Exclusions​

EAGLE EYE gives you the ability to exclude sites or domains that aren’t relevant to your organization. With Exclusions, you can quickly cut through the clutter of the web and focus on the results that are truly important to your firm.
Developed with compliance professionals in mind. EAGLE EYE has everything you need.
​Including:
  • Audit Reporting
  • Hierarchy File Loading
  • Escalation Workflows
  • Simple to Complex Reviewer Hierarchy Support
  • Productivity Reports
  • Footprint Reports
  • Management Dashboard
  • Multiple Supervision Levels
  • Review Tagging and Categorization
  • Research Mode
  • Search Lexicons
  • Roles and Permissions
  • Automated Re-reviews
  • WORM Compliant 17 3a Storage
  • Compliant with FINRA Rule 2210
  • Compliant with FINRA rules 3010 and 3270
  • SQWatcher Integration and More!​

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