Compliance Operations 

My Compliance Centre supports the core compliance operations carried out by Compliance Officers on a daily basis.  

Shutterstock Compliance Operations

Compliance Monitoring

  • Build your risk-based Compliance Monitoring Programme, defining risks and sub-risks, and testing methods and objectives. 
  • Assign testing actions to colleagues and track results and the status of corrective follow-up actions. 

More about Compliance Monitoring here

Regulatory Change Management

  • Receive automated data regulatory update feeds of all relevant output from the regulators that affect you.
  • Dismiss irrelevant regulatory updates and process those that are of interest to you. 
  • Share with colleagues and add actions that need to be completed to implement the regulatory change. 

More about Regulatory Change Management here

Incidents & Breaches

  • Define an unlimited number of breaches ‘ types’ – from SARs to trading errors.
  • Create a workflow, define customer fields to suit your business and process and action them. 
  • Manage your register and corrective actions to demonstrate to all stakeholders your control over regulatory breaches. 

More about Incidents & Breaches here

Document Manager

  • Log all your compliance documents in a central location.
  • Manage version control and update policies as required. 
  • Send them for attestation and check progress. 

More about Document Manager here


Compliance Advice

  • Streamline the process of supporting colleagues adhoc compliance advice requests.
  • Simply ask them to e-mail [email protected] and process their requests.
  • Make advice given to colleagues generic and add it to the KnowledgeBase for the benefit of all.  

More about Compliance Advice here

Task Management

  • See all compliance tasks for yourself, your team or the whole company within a single screen. 
  • Search for specific employees or outstanding and overdue tasks. 
  • Follow-up, reassign and action as required. 

More about Task Manager here

Take a look at My Compliance Centre

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