We provide regulated firms with flexible compliance software and a regulatory policy and content management service, all supported by a tailored consultancy offering.
From a “one stop shop” approach to a tailored service, we enable financial firms to stay ahead of the onslaught of regulatory change safe in the knowledge that their compliance framework is reflective of current regulation and industry best practice. Our platform and content offering is completely flexible in how it can be deployed, and can be used by firms of all sizes to address their particular requirements.
It’s a powerful combination that will increase your efficiency, reduce your regulatory risk and give you complete control over your compliance obligations.
- Version controlled policy and procedure library to store all of your compliance documents
- Integrated Employee Attestation service with inbuilt alerts and dashboards
- Diarising and allocation of compliance monitoring tests
- Incident, breach and Client Complaint case management with root cause analysis and remediation tracking
Workflow based Personal Account Dealing, G&E and employee Conflict Disclosure approvals
Financial Promotion review and approval process
Compliance Dashboards and automated email alerts help increase senior management oversight
- Best practice Compliance Manual tailored and branded to your firm’s requirements
- Receive updates to your manual as new regulation or industry best practice decrees
- A Compliance Monitoring Programme which can be tailored to your firm’s permissions and strategies
- Access to “The Library”, our online resource containing template policies and procedures that support and implement your compliance manual
- Access to the “Regulatory Reference”; our clear and simple translation of the regulatory handbook, providing an easy to read first point of call