Compliance Operations 

• 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

• 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

• 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

• 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

• 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
 

• 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