Never get a preventable violation again.
Catch what matters most, before regulators do.
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Look around you
That’s exactly where our story began.
We juggled spreadsheets and overpriced software that took care of some of the issues, some of the time. But we never found a software that handled many supervisory review materials in one central platform, and was made specifically for broker-dealers.
So we set out to create it.
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Meet the team
that takes broker-dealer compliance into the next era
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Eli Wishnivetski
Co-Founder
Eli Wishnivetski founded Knowtice to solve a persistent problem in the securities brokerage industry: the lack of effective, systematic tools for critical supervision processes, starting with AML tools, Regulation SHO, marketing, and data management. With more than 20 years of experience as a regulator with FINRA, Chief Compliance Officer for multiple broker-dealers, and consultant to numerous firms, Eli brings unmatched insight into both regulatory requirements and the solutions broker-dealers need to meet them.
At Knowtice, Eli works closely with clients to understand their challenges and demonstrate how the company’s tools streamline supervision, enhance compliance, and protect firms’ financial interests. What he values most is seeing clients succeed by using Knowtice solutions to proactively address regulatory issues with confidence.
Eli maintains the Series 7, 24, 27, 53, 63, 79 and 99 securities license designations and, as an attorney, is an active member of the New York State bar.
Nicholas Johnson
Co-Founder
Nicholas Johnson is dedicated to building software that bridges the gap between regulatory requirements and practical compliance solutions. With a background that combines deep technical expertise and hands-on compliance experience, Nicholas has built a career focused on solving complex challenges in the securities brokerage industry. Before founding Knowtice, he worked directly in compliance roles, where he repeatedly encountered inefficiencies in trade surveillance and regulatory data management. His firsthand experience revealed the shortcomings of existing software, inspiring him to design comprehensive, practical tools tailored to broker-dealers’ real needs.
At Knowtice, Nicholas leads product development, technical planning, and software architecture, while partnering closely with clients to ensure every solution is aligned with regulatory expectations. He finds fulfillment in seeing Knowtice tools empower firms to proactively manage risks, respond confidently to compliance inquiries, and reduce exposure to problematic activities.
Questions as loaded as our tools
1
What types of compliance challenges does your platform address?
Knowtice helps broker-dealers streamline and strengthen oversight across key compliance areas including AML transaction monitoring, Regulation SHO, marketing content reviews, trade surveillance, SEC Rule 605/606 reporting, and more. We consolidate fragmented data sources and automate exception reporting so that you can catch material issues before regulators do. We also provide for data management, a key - often overlooked - area which is the backbone of all systematic compliance oversight.
2
How easy is integration with existing systems such as back office systems of clearing firms and OMSs (order management systems)?
Our platform is designed to work with the systems you already use. We connect to your clearing firms, vendors, and order management systems via SFTP and structured imports, making integration straightforward, without needing any IT involvement on your end.
3
Is this solution built for small firms, or only large broker-dealers?
Knowtice is built for independent and midsize broker-dealers. We know these firms often operate without a large in-house compliance or tech team, so we’ve built tools that are powerful, flexible, and easy to manage without extra overhead. However, we believe that the uniqueness of some of our tools can be beneficial to any broker-dealer operation, even a large one.
4
How often is the platform updated to reflect rule changes?
We keep up so you don’t have to. The platform evolves continuously in response to regulatory changes, emerging risks, and user feedback. We monitor SEC and FINRA guidance closely to ensure your tools stay compliant and relevant.
5
Is there training or onboarding support available?
Yes. We offer hands-on onboarding tailored to your workflow, plus direct support from people who’ve sat in a compliance seat. You won’t be handed a user manual; we walk through setup, help you configure your tools, and stay available post launch.
6
What kind of security and data privacy controls are in place?
We follow strict protocols around data handling, including encryption, secure file management, and access controls. Our SFTP, File Explorer and storage options support SEC Rule 17a-4 compliance, ensuring records are tamper-proof and audit ready.
