Case Study: Stadion Money Management strengthens employee trading compliance with ComplySci

Stadion Money Management’s Quest for the Best Personal Trading Solution

Stadion Money Management, a privately owned money management firm, needed a better way to monitor employee personal trading activity as its headcount grew and many staff members held multiple brokerage accounts. Its manual review process had become difficult to manage, especially as the firm aimed to protect client assets and stay compliant with SEC expectations. To solve this, Stadion turned to ComplySci and its compliance platform with electronic brokerage feeds for reviewing employee trading activity.

ComplySci helped Stadion replace manual, quarterly statement reviews with near T+1 monitoring, greatly reducing the human time required and freeing the compliance team to focus on other proactive work. The platform also made it easier to provide attestations and review records during an SEC examination, strengthened the firm’s culture of compliance, and replaced paper scans and email tracking with a web-based app. Stadion also expanded its use of ComplySci for training and certifications, improving employee engagement and compliance education.

Stadion Money Management

Michael Isaac

Chief Compliance Officer