Everything in one place
Replace complex networks of different systems, processes and spreadsheets with an integrated compliance management platform for firms that offer regulated financial services. Saving you time, giving you full visibility and control, and making it easier to report and evidence your compliance.
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Automated processes
Assign and track compliance tasks through to completion. Whether it's scheduled activities, such as compliance monitoring, or ad hoc activities such as regulatory change and new compliance register entries.
Interactive dashboards
Individual, team and company management information dashboards enhance the ways in which you can think about, identify and manage your regulatory risk. Build and customise your own dashboards or use one of the pre-defined options.
Complex structures
Supports all organisational structures, from individual companies to complex groups with decentralised compliance. Take account of employees’ responsibilities, add group companies and configure businesses into regions, sectors or other groupings.
Modernising compliance management
My Compliance Centre is specifically designed for firms that provide regulated financial services. Core modules give you complete visibility and control. See completed, upcoming and overdue tasks and get an on demand picture of your compliance management. Eliminate countless hours spent bringing information together to produce management reports and to track compliance activities. Enabling you to use your resources more efficiently and to achieve more.
Compliance Monitoring
Bespoke a templated plan or create your own, and even include broader internal audit or other assurance activities. Assign and track testing, monitoring and remediation activities through to completion.
POPULAR FEATURES
- A calendar view of compliance monitoring activities
- Create risk and sub-risk areas
- Define monitoring activities by risk area
- View overdue and upcoming tasks
- Reporting dashboards track activities by individual, team or company
- View and evidence completed tasks
Regulatory Change
Capture and circulate regulatory changes, record staff acknowledgements, assign responsibilities and track and manage changes to your policies, processes, systems and procedures.
POPULAR FEATURES
- Select your data feeds from relevant regulators
- Define distribution groups
- Send updates for information or formal acknowledgement
- Set roles, responsibilities and key dates
- Automated system alerts keep you on track
- Audit trail evidences your compliance and acknowledgements
Registers
Managing compliance registers is a standard tasks but one that often results in many different Excel worksheets. Simplify your processes with all your registers in one place.
POPULAR FEATURES
- Capture data and entries from across your business
- Record comprehensive audit trails, categorising entries for easy reporting
- Assign and monitor remedial actions
- Keep track of additional information requirements, so that these are not forgotten
- Dashboard and reporting suite offer real time management information at your fingertips
Governance
Manage your entire governance structure, with all key information in one place.
POPULAR FEATURES
- Define committee structures and membership
- Record terms of reference, and membership
- Schedule meetings
- Record minutes and actions
- Track tasks and activities to completion
Compliance Advice
Receive, manage, store and track all staff compliance questions and interactions with the compliance team.
POPULAR FEATURES
- No staff login required - uses innovative EasyForm process
- Assign compliance team ownership
- Record all communications
Document Management
Store your policies, procedures, processes and other key documents
POPULAR FEATURES
- Define document types
- Upload all compliance documents
- Manage version control
- Distribute to staff for formal attestation
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Expansion modules
Choose expansion modules as part of your compliance management application or as stand alone modules.
SMCR system
Take control of the Senior Managers & Certification Regime with our simple to use application which reduces the cost and administrative burden. Automated workflow processes keep your SMCR regime on track and identify gaps in your compliance. Get the documents you need from responsibilities maps to certificates and regulatory references. And use the interactive dashboards to see your status and produce reports.
POPULAR FEATURES:
- Produce Statements of Responsibilities and Responsibilities Maps
- Record Conduct Rules training and document any breaches on employee profiles
- Record Fitness and Propriety assessments
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FileChecker™
A collaborative application that allows you to track file reviews, manage remedial actions, produce management reports and access a full audit of your compliance should this be required.
Easily see what file reviews are due, those that have been completed and get real time results.
POPULAR FEATURES
- Schedule and assign file reviews
- Select an appropriate template or create your own
- Multiple question formats (boolean, drop down etc.)
- Automated marking system including auto fail questions
- In-built quality assurance process
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Ready to modernise your compliance management?
Single source of truth
Replace complex networks of different systems, processes and documents with one integrated management platform.
Enhanced governance
Complete transparency and visibility of your compliance management, with a full audit trail and evidence. Reducing non-compliance risk by having your compliance status at the touch of a button.
Achieve more
Manage your compliance with more confidence and free your team to spend more time challenging, reviewing and improving.
Take a look at My Compliance Centre
Book Demo Call now +44 (0)20 8017 8273