Compliance Monitoring

Create, manage, track and evidence your compliance monitoring programme.

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Set up your programme in three easy steps

(or let us have those Excel worksheets and we'll do it for you)

Create multiple plans, including broader internal audits and other assurance activities. Assign and track testing, monitoring and remediation activities through to completion. Get a bird's eye view or drill down into the detail.

Create the risk area and assign the owner.

Create sub-risk areas, if appropriate and required.

Create and assign testing activities, including setting frequency and start date.

See the status at the touch of a button

You choose how you’d like to see the information. View by risk or sub-risk area and filter the list by the assigned owner, subsidiary, division or team. The colour coded status gives you a quick view of what’s in progress, what’s been completed, what’s overdue, monitoring activities that will shortly become due and those which are scheduled into the future.

Drill down into the detail

Drill down into any compliance monitoring activity to get the detail of what is to be carried out or has been completed.

Assign and track remedial actions

Where remedial action is required, this can be assigned to the relevant person with an appropriate completion date. The remedial action is then tracked through to completion.

Complete the testing

When a testing activity is due, the person responsible will receive an automated email and will see the testing activity required on their home page. They will receive reminders until the testing and any remedial actions are completed. Evidence of testing undertaken and other relevant documents can be attached to the task.

Produce management reports

Using the report builder specify the reporting parameters to produce relevant management reports, which can be exported into Excel or PDF documents.

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

Book a demo  Call now +44 (0)20 8017 8273