ComplianceRADAR Helps Sponsors Monitor Investment Managers

Northern Trust has launched a tool designed to make it easier for institutional clients to manage the workflow and reporting needs related to oversight of investment managers.

According to a press release, ComplianceRADAR offers clients the ability to quickly identify breaches of investment guidelines, document actions towards resolving the breaches, and run summary and detailed reports to assist clients with a variety of audit and management requirements. ComplianceRADAR is available via Passport, Northern Trust’s Web portal, and offers an online dashboard to support the real-time oversight of all guideline breaches.

Northern Trust said that using the new tool, clients can:

  • manage Exception Reports (guideline breach notifications) they receive as subscribers to Northern Trust Compliance Analyst, which enables clients to flag certain breaches as “action” types so they can more quickly resolve the items
  • input notes directly onto the dashboard so they can more easily keep track of their activity and next action steps
  • run reports via an accessible reporting function that provide information on each investment policy breach, executive summary reports to help document the compliance monitoring process, and highlight the results.



More information is available at