Compliance Advice

Keep track of and manage compliance questions.

Record compliance answers and advice

One of the simple facts of life for compliance teams is that they will regularly be asked for technical assistance by colleagues. Most often, this support is not recognised or appreciated, and is carried out in an unstructured and adhoc manner.

My Compliance Centre’s Compliance Advice module allows compliance teams to receive compliance help requests into the system via e-mail, in the normal way.

From there, compliance officers can respond to the request, add the request and their response to their Knowledgebase, and critically ensure that all advice is consistent without referring back through years worth of e-mails.

Knowledgebase entries can be expired to ensure all advice is current and My Compliance Centre’s automated reminders ensure the process moves along smoothly at all times.

Setup an incoming e-mail address “ComplianceHelp@YourCompany.com”. Have colleagues e-mail this address when they need help and be notified when a new request comes in.

Respond to incoming requests. Enjoy back and forth discussion if clarification is sought and maintain the audit trail of discussion. Record where external advice is sort and received.

Genericise any valuable advice given and store it in the knowledgebase, suitable tagged for simple future access. Auto expire advice to ensure it is always current.

Use the knowledgebase to support future help requests or provide direct access to it to colleagues.

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