My Compliance Centre supports all organisational structures, from individual companies to complex groups with decentralised compliance. Taking into account employees' responsibilities, adding group companies and configuring businesses into regions, sectors or other groupings.
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Asset Managers, Capital Markets, Private Equity, Investment Managers
My Compliance Centre supports the wide range of compliance activities carried out by Asset Managers. This includes Compliance Monitoring, Personal Account (PA) Dealing and Employee Attestations. My Compliance Centre's Task Management functions makes to clear to all employees the tasks they need to carry out and when. Governance is strongly enhanced using the SMCR and Boards & Committees modules. System configuration options allow multi-company and multi-jurisdiction groups to be configured and managed in a flexible and controlled way.
While Banking business models vary significantly, the regulatory pressure of being regulated by the FCA and PRA are consistent across all Banks.
My Compliance Centre supports many of these, including all the expected compliance registers, deployment of unlimited Monitoring Plans, within Risk, Compliance and Internal audit, and the management of employee compliance within areas such as Conflicts and Attestations.
Regulatory Changes across multiple domestic and international regulators can be tracked and actioned and, of critical importance, governance across the entire committee structure can be enhanced using the Board and Committees module.
Wealth Managers have a broad range of compliance obligations.
My Compliance Centre provides support across all of these.
Our FileChecker module offers unparalleled control and measurement over the file review process. Unlimited risk based compliance monitoring plans can be setup to focus on specific areas of focus across compliance, risk and internal audit.
Breaches and incidents can be recorded, categorised and actioned to demonstrate to all stakeholders the compliance culture in place.
Financial Promotions are tightly controlled through a configurable authorisation process and Regulatory Changes, from as a wide a range of regulators as you deal with, arrive in the system directly to be processed and shared as required.
There are over 30,000 regulated Consumer Credit firms in the UK and many of these have a full set of regulatory obligations.
My Compliance Centre assists Consumer Credit compliance teams across the full range of their responsibilities, including Compliance Monitoring, managing Consumer Duty obligations, SMCR & Governance and daily processing of activities such as Financial Promotions and Regulatory Breaches.
My Compliance Centre supports insurers and insurance brokers deploy the full scope of their compliance framework.
Client file reviews can be effectively controlled using My Compliance Centre's FileChecker module, while routine compliance tasks, such as Compliance Monitoring and managing Compliance Registers are easily configured and executed.
Governance is enhanced using the Boards and Committees and SMCR modules.
Fintech and Payments
The entrepreneurial nature of FinTech firms and management teams can often present a significant challenge to the management of regulatory obligations due to having to balance tough growth targets and the expectations of institutional investors, with the restrictive nature of an increasingly hostile regulatory environment.
By having a central Compliance Management System, where all obligations are managed in one place, it becomes far easier to demonstrate to all stakeholders that compliance is under control.
A full regulatory programme can be efficiently deployed and all employee’s (and Senior Manager’s) compliance responsibilities can be tracked effectively.
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.
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.
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 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.
Manage and record attestations to policies.
Receive, manage and store compliance enquiries from staff, customers and other stakeholders.
Assign and track testing, monitoring and remediation activities through to completion.
Replace different Excel worksheets with a single system, keeping all your registers in one place.
Benefit from full version control, easily share documents and track receipt and acknowledgments.
Track file reviews, manage remedial actions, complete quality assurance and produce management reports.
Boards & Committees
Manage your entire governance structure, with all key information in one place.
Automated data feed of regulatory developments. Assign, track and manage changes to policies, procedures, systems and controls.
Keep your Senior Managers and Certification Regime on track and get the documents you need.
Take a look at My Compliance Centre
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