Monitoring.

A calendarised, audit-driven approach to take the burden out of compliance.

Bring order to the scheduling and recording of your compliance monitoring processes.

Our compliance monitoring module comes pre-populated with a year-round schedule of monitoring questionnaires, leading you through the process of recording the effectiveness of your firm’s Governance, Risk Management and Compliance activities.

Approvals. 

Authorise requests, keep track of workflows.

Simple, easy-to-use workflows providing speedy response and a robust audit trail for approvals requested by colleagues.​

Approvals comes with registers for PA Dealing, Gifts and Inducements, Financial Promotions, Rule Breaches and Incidents right “out-of-the-box”.​

Bespoke registers can be added or selections made from our growing library of additional register templates.

Registers. 

Permission based access control. Siloed registers online, accessible anywhere.

All companies have registers they need their staff to access.​

Registers places control over public lists in the hands of the Compliance Officer, but they remain visible to all staff who need access to them.​

Registers can include trading blacklists, approved suppliers, broker on-boarding, approved persons or anything else you need.

Attestations.

Manage staff attestations without fuss.

Schedule group or individual attestations and declarations on a periodic basis. Email reminders are automatically sent, removing the need to manually follow up on overdue responses.

Enjoy drastic time saving when compared to managing regular email calls for action. Generate and export reports showing completion status or detailed individual reports to identify answers to specific questions.

Documents.

Attest, archive, and review.

Policies and procedures are the heart of a good Governance, Risk Management, and Compliance cycle.​

With Documents you can be sure your staff are accessing the latest document versions and you can set each document to be attestable by staff.

You have an easy-to-hand record of who has read what and when.

Prompt.

Send requests to gather information.

Issue timely and accurate prompts or reminders to colleagues, suppliers or clients relating to actions required.​

Send automated attestations or declarations, form prompts or reminders to colleagues. Track responses and identify and chase outstanding actions.

Save time searching your inbox by monitoring responses directly from ComplyPortal.

Risk. 

Effectively manage enterprise-wide risk.

Define controls to reduce inherent risks in line with your firm’s risk appetite. Set mitigation levels and control effectiveness to determine individual residual risk scores.

Visual heat maps enable you to easily identify action points for unmitigated risk and ongoing monitoring.

SM&CR. 

Assign and manage responsibilities.

Effectively manage responsibilities for Senior Managers, Certified Individuals, Conduct Rules, and Ancillary staff.

Transfer responsibilities in or out for new individuals whilst also keeping track of breaches and committee membership — all the while keeping you compliant with up-to-date Statements of Responsibilities.

eKYC.

Comprehensive online searches and verification.

This is a full and comprehensive electronic Know-Your-Client, AML solution. Suitable for professionals as well as regulated entities and individuals.

Undertake complete client identity verification remotely.

Verify authenticity of submitted documentation in real time.​

Use negative list searches against Politically Exposed Persons (PEPs), global sanctions, adverse media coverage, and much more with enhanced due diligence reports and ongoing monitoring.

eKYC module

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