Manage core compliance control room functions, such as monitoring and testing, regulatory reporting, and error and breach management.
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Monitoring ProgrammeSchedule your compliance monitoring programme, record the findings and any remediation action required. Attach evidence of the monitoring and where required, schedule follow up Case Management activities to address any errors or breaches. |
Reporting ScheduleSchedule the company's regulatory filing calendar, including any mandatory internal board reports, such as the Annual AML Report. |
Case ManagementTrack and manage any case that requires compliance intervention such as Trading Errors, Fraud / AML alerts, or Client Complaint. |
Complaint ManagementUtilising the Case Management service, this extends the service to enable the case to be correctly classified for regulatory reporting purposes. |
Document LibraryA version controlled library for securely storing any control room documents such as regulatory reports that have been filed, risk logs, or documents evidencing a case. Compliance can also use the library for storing internal compliance documents, including source policies and procedures, and regulatory change documents. |
Risk & Conflict RegistersDefine and record your compliance risks and your conflicts register. Associate risks to your monitoring programme and any recorded errors and breaches, providing a complete picture that can be demonstrated and evidenced. |
If you work with external Compliance Consultants then the Compliance Officer Room can be configured to allow them controlled access to your information, helping them to provide improved monitoring services and providing you with a single golden source of information.