Find out more about how our Monitoring module can make your compliance management much easier

Compliance monitoring is necessary, but does it have to be done manually? Here at ComplyPortal, we don’t think so. We know that digitising compliance helps to remove elements of human error while ensuring that your important – but potentially repetitive and time-consuming – compliance tasks are completed. This frees compliance officers and teams to use their all-important human skills and expertise to tackle more complex compliance tasks.

Read on to find out how our Monitoring module can help you.

Who is it for: regulated firms monitoring Governance, Risk, and Compliance

Key features:

  • Monitoring questionnaires for the whole year
  • Records of completed monitoring activities
  • Reminders of monitoring tasks that are due or upcoming
  • Full reporting and audit trail
  • Assignable tasks to group or individuals
  • Configurable to meet firms bespoke requirements

How it benefits you:

All your past, present, and future compliance monitoring activities can be housed in one place using our Monitoring module – making it much easier to keep track of and manage compliance tasks. ComplyPortal makes life easier for those using the system. You can even monitor compliance remotely from your home office, supporting work from home needs and keeping entire team on the same page. ComplyPortal can be used to stay on track on mobile and tablet devices as well as PCs.

The Compliance Perspective:

“Monitoring is essential for an effective Compliance Function. However, for many Compliance Officers, keeping on top of the many varied and repetitive tasks in a firm’s Compliance Monitoring Programme (CMP) is a challenge in its own right. Current regulatory requirements mean that using an electronic diary or spreadsheet, which may have been suitable a few years ago, won’t be up to scratch – but software solutions like ComplyPortal can help.

“The beauty of ComplyPortal is that it has been built by compliance staff for compliance staff. That means it has exactly the right tools, mechanisms and resources to stay on top of CMP tasks in one straightforward platform. For any Compliance Officer, a tool which makes CMP oversight and administration simpler and more efficient is welcome.” Peter Wilson, Manager, Complyport

Find out more about our Monitoring module and the rest of the ComplyPortal platform at: https://complyportal.uk/modules

About ComplyPortal – Compliance software since 2011:

First developed in 2011 by compliance professionals for compliance officers, ComplyPortal offers workflow, automation, and several modules to help firms with control and regulatory compliance monitoring.

ComplyPortal simplifies financial services regulatory compliance management on an easy-to-use cloud-based comprehensive compliance platform. It enables compliance officers, risk officers and senior management to keep track of their firm’s regulatory responsibilities and workflows. Our platform includes the following modules, among others:

  • Monitoring: a year-round schedule pre-populated with monitoring questionnaires to ease compliance processes.
  • Registers: lists controlled by the Compliance officer, but easy for staff to view.
  • Risk: map and control risk areas to effectively identify and manage risk for your firm.
  • eKYC system: perform comprehensive searches, including client identity verification, document authenticity, and more for a comprehensive KYC and AML approach

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