Compliance & Legal

Compliant workflow automation how you want it

Mitigate operational risk

It’s your choice how deep you want to go. Siepe provides all the tools to support all your operational compliance needs.

Compliance Monitoring

Push trade notifications to portfolio managers with automatic post-trade compliance monitoring

Restricted List Management

Manage list of restricted users with request and approval workflows, compliance alerts and full audit trail

GIPS Compliance

Composite portfolio construction and testing, dispersion analysis, audit trail documentation and reporting for compliance testing

Tier 1 CLO Manager Unlocks Technology and Operational Efficiencies With Siepe’s Collateral Administration Services

by | December 9, 2023 | Blog, Business Continuity, Case Study, Thought Leadership | 0 Comments

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Executive Spotlight: Teresa Lange Pierson, Director of Compliance

by | April 1, 2024 | Blog, Compliance, Insights | 0 Comments

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“We have used multiple vendors in the past but the infrastructure, expertise and knowledge Siepe provides are unmatched. I no longer need people on staff to manage our IT infrastructure – it runs seamlessly 24/7.”

– Scott Coughlin, CTO, Seven Bridges Advisor

“We completely lucked out with Siepe. They have really brilliant people who understand and know this whole setup.”

– Steve K., Head of Operations, Single Family Office ($1.5 billion+ AUM)

“It would be strategic for us to stay with Siepe. They have had an extremely positive impact on our business.”

– Tony Moore, CFO, Anson Funds

“The executives do a great job of visiting clients. You can tell they care and are fully involved.”

– Debby LaMoy, COO, Hayman Capital Management

“If we didn’t switch, it would have been significantly detrimental to our business. I can’t even imagine what it would’ve been like if we didn’t switch, honestly. We would’ve definitely failed. There’s really no other way to think about it.”

– Steve K., Head of Operations, Single Family Office ($1.5 billion+ AUM)

“Siepe has been a key partner for us. I have recommended several firms to use Siepe. I keep in touch with those who are clients now and they’re all satisfied too.”

– Scott Coughlin, CTO, Seven Bridges Advisor

“Our firm signed on with Siepe after thorough due diligence, reference checks and qualifications. We started with a project that was a complex task: automating a process that had failed numerous times in the past. The project was very successful and Siepe is now a part of our daily operations. They are the engine that runs our business.”

– Tony Moore, CFO, Anson Funds

“Firms need to realize that there have been significant technological advances over the years and that there are cost-effective ways of managing IT infrastructure. Not many vendors out there that can do it – and do it right.”

– Steve K., Head of Operations, Single Family Office ($1.5 billion+ AUM)