Say goodbye to spreadsheets and scattered systems. Automate workflows, track ownership, and monitor real-time compliance — all in one secure platform built for financial services.
Registers document and monitor regulatory risks and governance and compliance processes. But when they’re scattered across spreadsheets, emails, and disparate systems it can lead to missed deadlines and make it difficult to get a centralised picture.
Register Vault simplifies the management of your Registers by bringing everything together in a single secure and scalable platform that’s been designed specifically for financial services firms.
Centralise all Registers within a single system that provides role-based access for teams, business units or group entities.
Assign tasks with clear ownership and personal dashboards. Set review frequencies and deadlines, with automated reminders.
Track every change and quickly pull together evidence to demonstrate compliance for internal audit or if you’re asked by the regulators.
Customise workflows with defined processes and approvals for each Register, ensuring the involvement of appropriate stakeholders at the right time.
Automate approvals with set criteria, for example in the Gifts & Hospitality Register you can auto-approve entries that fall within a set threshold.
Assign tasks and activities to individuals with automatic scheduling. Automated emails alerts will then remind the relevant person of the task to be completed and will be recorded in the system for easy traceability.
Corporate and personal dashboards highlight upcoming or overdue tasks.
Individuals can see the status of their responsibilities, for example policies to be reviewed or submissions to review and approve.
Senior managers can see that information across different Registers, business units and entities. And they can drill down into Register-specific insights, for example in the Complaints Register see how often “Has this been referred to FOS” is answered “Yes”.
Use your own Registers or start with our suite of designed templates that you can customise.
Our library of over 60 Register templates covers most requirements.
My Compliance Centre supports more than 200 companies and over 10,000 people use our system.
We’re trusted by firms of all sizes, from start-ups to large enterprises with decentralised compliance functions, and in financial services sectors that include asset and investment managers, capital markets, fintech, insurance, wealth management, payment services and consumer credit.
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