Sanctions Screening
Checking customers, counterparties, and payments against OFAC, EU, UN, and national sanctions lists, including PEP exposure and adverse-media flags.
Payment / Wire Screening
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Pendleton AdvisoryPro
Model risk governance for AI-driven finance
Best execution and complaints evidence is produced automatically, so the firm can answer a regulator's conduct question with a documented trail rather than a manual reconstruction.
Headquartered in Ireland·Founded 2017·51-200 employees·Bootstrapped
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You filtered for Trade Reporting. Pendleton Advisory matches on Trade Reporting.
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Surveillance and conduct teams at buy-side and sell-side firms, brokers, and trading venues.
What they solve
Combines rule-based and ML scoring so analysts only see alerts that matter. Deploys via API or hosted UI in under two weeks.
KYC / KYB
Verifying who a customer is at onboarding and beyond, covering individual identity, business incorporation, beneficial ownership, and ongoing re-verification when risk changes.
Enhanced Due Diligence (EDD)
eComms Surveillance
Capturing and reviewing email, chat, voice, and mobile communications for conduct risk, off-channel violations, and supervisory obligations.
Archiving / WORM Storage
Trade Reporting
Submitting transaction and trade reports under MiFIR, EMIR, SFTR, Dodd-Frank, and equivalent regimes, with reconciliation against counterparty submissions.
Transaction Reporting (MiFIR / CAT)
AI Governance
Model inventory, validation, bias and fairness testing, and ongoing performance monitoring for the AI systems regulators now treat as high-risk, including under the EU AI Act and model risk management regimes.
AI Audit Trail
Products
Trade SurveillanceLive
Detects market abuse across orders, trades, and chat with case management for surveillance teams.
Market Conduct · Trade Reporting
Clients
ⓘTeam
Daniel Okafor
Chief Operating Officer
Grace Adeyemi
Head of Financial Crime
Nadia Meier
Chief Compliance Officer
Oliver Ustinov
Chief Technology Officer
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