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Explore the Modules

My Compliance Centre is comprised of 13 complementary modules, each supporting key compliance activities.


Manage and record attestations to policies.

Compliance Monitoring

Assign and track testing, monitoring and remediation activities through to completion.


Track the review, manage remedial actions, complete quality assurance and produce management reports.

SMCR System

Keep your Senior Managers and Certification Regime on track and get the documents you need.

Compliance Advice

Receive, manage and store compliance enquiries from staff, customers and other stakeholders.

Document Manager

Benefit from full version control, easily share documents and track receipt and acknowledgements.

Regulatory Change

Automated data feed of regulatory developments. Assign, track and manage changes to policies, procedures, systems and controls.

Compliance Registers

It’s a standard task but one that often results in many different Excel worksheets. Why not simplify your processes with all your registers in one place and with automated workflow?

Boards & Committees

Manage your entire governance structure, with all key information in one place.

Personal Account Dealing

Customise and configure your own internal PA Dealing process. Manage the workflow using your preferred authorisation and approval levels. Hold employee portfolios records and ensure employees maintain them. Access 3rd party security lookup services.

Financial Promotions

Manage your Financial Promotions using a flexible and configurable workflow to automatically process new Financial Promotions through to completion.   

Incidents & Breaches

Manage regulatory breaches with ease. Categorise incidents in line with your own risk reporting and ensure remedial actions are completed.

Gifts & Entertainment

Customise your own approval workflow for Gift and Hospitality requests.

Task Management

See your company’s entire universe of compliance tasks in one screen. Simply filter to see what is assigned to an individual or use the employee view to see team and individual task summaries.

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