Regulated firms manage dozens of compliance processes that don’t fit neatly into a single system. Register Vault is built to automate them.
What It Does
Most regulated firms have compliance processes – financial promotions approvals, incident and breach recording, product governance reviews, complaints management, vulnerable customer tracking – that are managed on spreadsheets, in shared drives or through email chains. They exist, they function to a degree, but they are disconnected, hard to report on and difficult to evidence under scrutiny. Register Vault gives firms a single, structured home for these processes. More than 60 register templates cover the most common compliance processes – ready to deploy immediately and configurable to your firm’s specific requirements. A powerful workflow engine enables approvals, reviews and escalations to be built into each process. Everything is evidenced, auditable and reportable from day one. As your firm grows or your compliance framework matures, Register Vault grows with you. New registers can be added, existing ones reconfigured, and the workflow engine scales to whatever complexity your processes require.
Key Capabilities
60+ pre-built register templates covering the most common compliance processes
Configurable to your firm’s specific requirements – amend templates or build your own
Workflow engine supporting approvals, reviews, escalations and automated reminders
Financial promotions – submission, review, approval and record-keeping in one structured process
Incidents and breaches – structured recording, assessment, escalation and regulatory reporting trail
Product governance, complaints, vulnerable customers, outsourcing and more
Management information and reporting across all registers from a single view
Complete audit trail maintained automatically – every task, finding and action timestamped
What This Means in Practice
The compliance processes that currently live in spreadsheets and email are brought into a single, structured, evidenced system. Your team spends less time administering them and more time using the information they produce. When your Board or the FCA asks for evidence of any compliance process, it is there.
Frequently Asked Questions
Register Vault covers the wide range of compliance processes that sit outside the named modules – financial promotions, incidents and breaches, complaints, product governance, vulnerable customers, outsourcing, vendor management and many more. It comes with more than 60 register templates covering the most common processes, and you can configure these or build your own.
Yes. The 60+ templates are a starting point – you can amend them to match how your firm works, or build your own registers from scratch. The workflow engine lets you set the approvals, reviews and escalations each process needs, so the register reflects your process rather than forcing your process to fit the tool.
The workflow engine lets you build approvals, reviews, escalations and automated reminders into each register. An entry can be routed to the right person for review or sign-off, escalated where needed, and chased automatically if it is outstanding – so each process runs consistently and the record of who did what, and when, is captured automatically.
Financial promotions are managed as a structured process within Register Vault – submission, review, approval or return, and record-keeping in one place. Every promotion is tracked from submission to decision, with a complete audit trail of comments, approvals and versions, so the record of what was approved and why is held automatically.
Incidents and breaches are recorded, assessed, escalated and tracked through the workflow engine, with a regulatory reporting trail maintained throughout. This means you can evidence how an incident was identified, assessed and resolved – including notification to the regulator where required – with the full history held in one place.
Let us show you how My Compliance Centre can make a difference to your risk and compliance management
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