Track file reviews, manage remedial actions, complete quality assurance and produce management reports.

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''I use the FileChecker module all the time – I do all my file checking via the system. It spits out a nice little report at the end which I send to line managers who use it as part of appraisal and SMCR.''


File reviews are a central part of the compliance control framework for many regulated firms, particularly in sectors such as Consumer Credit, Insurance, Mortgages and Wealth Management. With FileChecker you can assign and complete file reviews, manage remedial actions, complete quality assurance, produce management reports, and access full audit logs.

Key Features

Single system

Manage the entire cycle from the initial file review, to quality assurance checks and completing remedial actions.

Template builder

Select the appropriate file review template or create your own using the intuitive template builder.

Question types

Choose the question format (boolean, dropdown, text, numeric, etc.).

Improve engagement

Use multiple pages or sections in your file review to help organise and break up a long list of questions.

Set the marking system

Automated marking system allowing percentage, numeric or pass/fail result and an importance weighting.

Automatic fail questions

Select whether failing an individual question automatically results in a failed file review.

Allocate and schedule

Simple allocation and scheduling of file reviews and quality assurance audits to team members.

Quality assurance

Retain original and quality assurance marking results for analysis and review.

Reporting suite

Produce management information reports and use the export facility to put these into Excel or PDF format. 

Your own dashboard

Personalise your dashboard to give you a real-time view of the information that is important to you.

Improved visibility

Easily identify overdue file reviews.

Evidence compliance

Easy search facility and full history tracking to evidence your compliance.

Track remedial actions

Use Task Manager to assign and track remedial actions to completion.

User permissions

Establish roles and permissions that set functionality and data access for different users.


Web services API allowing you to extract information and data into your data warehouse.

There's a better way

Modernise your compliance management with a single, shared and integrated cloud-based solution. Specifically designed for firms that offer regulated financial services and in sectors that include Asset Management, Banking, Capital Markets, Consumer Credit, Corporate Finance, Fintech, Insurance, Investment Management, Payment Services, Private Equity, Venture Capital and Wealth Management.

Enhanced governance

Stronger governance

Complete transparency and visibility of your compliance management, enhancing the ways in which you think about, identify, and manage your regulatory risk.


Evidences your compliance

My Compliance Centre offers a complete audit trail so that you can easily evidence your compliance to your board and, if they were to ask, the regulators.

achieve more

Increases confidence

Get a bird's eye view or drill down into the detail. With this information at your fingertips, you can be confident that you are on top of everything.


Reduces compliance risk

Ensures your compliance framework keeps pace with regulatory developments. Gives you visibility of all scheduled and ad-hoc tasks and remedial activities.

Single source

Single source of truth

One integrated platform so you can be sure to find the information you need, when you need it, without any fuss or version control confusion.

Take a look at My Compliance Centre

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