Compliance Operations
Simplify your company’s core compliance operations with an automated Compliance Operations Solution from My Compliance Centre and enable your team to assign tasks, schedule actions and record results simply and quickly.
Modern compliance teams execute a wide range of tasks on a daily basis. To be effective, it is critical that they use the right tools. My Compliance Centre contains a comprehensive toolset to support a modern compliance function.
Compliance Monitoring
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.
Regulatory Change Management
Receive an automated data feed of regulatory updates from the regulators that affect you.
Dismiss irrelevant updates and process those that are of interest to you. Assign regulatory change actions and manage your regulatory change process.
Incidents & Breaches
Define your breaches categories – from SARs to data errors.
Create your own approval workflow, manage your register and corrective actions to demonstrate to all stakeholders your control over regulatory breaches.
Documents Manager
Log all your compliance documents in a central location.
Manage version control and update policies as required.
Send them for attestation, check progress and schedule regular reviews.
Compliance Advice
Streamline your support process for non-compliance colleagues.
Receive help requests directly into the system and record responses, ensuring consistency.
Add your advice to the KnowledgeBase for the benefit of all.
Financial Promotions
Maintain a tight control of your Financial Promotions approval process and register.
Streamline the approvals process and configure different approval templates for each product.
FileChecker
Maintain a tight control of your Financial Promotions approval process and register.
Streamline the approvals process and configure different approval templates for each product.
Task Management
See your company’s entire universe of compliance tasks in one screen. Simply filter to see what is assigned to an individual or use the employee view to see team and individual task summaries.
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