Compliance Advice

Keep track of and manage compliance questions.

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Record compliance answers and advice

 

Receive, manage, store and track compliance enquiries raised by your staff, customers or other stakeholders.

Record advice received to answer enquiries, for example from your legal advisors or compliance consultants. Easily find the response when asked a similar question, avoiding delays and wasted spend on repeated external advice.

  • Tag and categorise enquiries.

  • Easily find answers to similar enquiries to ensure you are consistent with your response.

  • Your staff can use a unique URL on your intranet to post their question directly into My Compliance Centre.

  • Assign a compliance team member to answer the question and record all communications.

Get insight, access evidence

From your dashboard you can see how many enquires have been received, who in your team is managing these, how many are in the process of being answered and those which have not yet been attended to. You can filter this information according to different requirements, for example the compliance topic, and download into other formats to enable analysis and reporting.

Key features

Assign

Assign questions to team members and/or subject matter experts for them to respond.

Record

Capture conversations that clarify your response and record your final answer.

Reminder

Automated reminders ensure the enquiry is followed to completion.

Tag

Tag questions to one or more topics, teams or other criteria.

Store

Option to store answers to build your own internal Knowledge Base.

There's a better way

Modernise your compliance management with a single, shared and integrated cloud-based solution. Specifically designed for firms that offer regulated financial services and in sectors that include Asset Management, Banking, Capital Markets, Consumer Credit, Corporate Finance, Fintech, Insurance, Investment Management, Payment Services, Private Equity, Venture Capital and Wealth Management.

Enhanced governance

Stronger governance

Complete transparency and visibility of your compliance management, enhancing the ways in which you think about, identify, and manage your regulatory risk.

EVIDENCE COMPLIANCE

Evidences your compliance

My Compliance Centre offers a complete audit trail so that you can easily evidence your compliance to your board and, if they were to ask, the regulators.

achieve more

Increases confidence

Get a bird's eye view or drill down into the detail. With this information at your fingertips, you can be confident that you are on top of everything.

REDUCES RISK

Reduces compliance risk

Ensures your compliance framework keeps pace with regulatory developments. Gives you visibility of all scheduled and ad-hoc tasks and remedial activities.

Single source

Single source of truth

One integrated platform so you can be sure to find the information you need, when you need it, without any fuss or version control confusion.

Take a look at My Compliance Centre

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