The vendor is required to provide product requirements analysis – along with the compliance management solution requirement matrix, treasury will evaluate the capabilities and maturity of each proposed solution in the areas outlined below.
- A proposed solution must have the following attributes:
a. Functional – mandatory
• Be user-friendly, configurable, scalable, and compatible with windows servers;
• Allow multiple brokerage accounts per user;
• Allow electronic direct feeds from multiple broker dealers;
• Allow for automatic and manual entry of brokerage statements;
• Have the ability to track private investments;
• Allow for forensic testing of employee and firm data;
• Have the ability to track gifts, entertainment, political activity, and outside business activity;
• Allow for customized attestation forms;
• Have the ability to monitor and track disclosures and attestations;
• Maintain an audit trail of all filings, certifications, reports, violations, and trade and statement data for a minimum of seven years;
• Allow for the creation and maintenance of restriction and watch lists;
• Allow for the pre-clearance of trades;
• The ability to provide scheduled or ad-hoc reports that can be configured and exported;
• The ability to easily query data, create a variety of reports and have a management dashboard that shows real-time information by case or by user;
• Provide single sign on;
• Demonstrate ability to secure access and protect data; and
• Have the ability to allow users to submit confidential reports of receipts of material non-public information;
b. Functional – preferable
• Be fully functional on mobile devices;
• The ability to aggregate data across users into a single file;
• The ability to connect to our order management system in order to incorporate treasury positions and trades into analysis of personal trading;
• The ability to create customized training materials; and
• Include a compliance calendar;
- Implementation support
• Understanding of business needs and plan for customization;
• Transfer data from current system;
• System deployment; and
• Initial training
- Ongoing support
• Free training support via web tutorial, video, online training, and user groups;
• Paid training options onsite, online, and conferences; and
• Consulting and customization post-implementation.
- Contract Period/Term: 5 years
- Questions/Inquires Deadline: May 02, 2025