Find out more about how ComplyPortal’s Prompt module can help your firm become more efficient and compliant.

ComplyPortal is the ideal tool to help digitise an organisation’s Compliance tasks, keeping you away from the more manual approaches such as spreadsheets and emails.

ComplyPortal’s Prompt module is a vital part of our tool for firms who need to issue timely and accurate prompts or reminders to colleagues, suppliers or clients relating to actions required, keeping that vital audit trail and streamlining and simplifying the process.

What is it for: The Prompt Module is a tool that enables employees to create customisable forms. These forms can be distributed internally to other staff members or externally to outside parties to be filled out, completed, and acted upon Popular examples of prompt campaigns are:

  • Vendor Compliance – make sure that all vendors your company does business with adhere to your company’s specific requirements for doing business by creating and utilising a vendor compliance prompt campaign within ComplyPortal.
  • Client Due Diligence – Send your firm’s due diligence documents out quickly and securely to new clients at the touch of a button.
  • Client feedback forms– Gain insight into your customers that your existing data may not offer by creating a feedback prompt campaign within your ComplyPortal account.

Key features:

  • Create customisable forms for internal staff or external parties to fill out and complete. Configure distribution settings to send forms out with ease.
  • Manage contact lists that are specific to form campaigns, enabling seamless mass distribution of different forms to relevant recipients.
  • Includes comprehensive audit history for demonstrating regulatory compliance.
  • Send forms directly through the platform rather than via email to allow for immediate visibility as soon as a recipient completes the form.
  • User-friendly interface for simple and intuitive form building and distribution.

The experts Perspective:

The importance of things such as vendor compliance, due diligence or even client feedback cannot be underestimated. Being able to issue timely reminders to colleagues, external vendors or clients relating to actions that are required whilst creating full audit trails that auditors and regulators are looking for means that the prompt module is becoming a more vital part of ComplyPortal for our clients.

“Sending certain information via email or elsewhere is prone to errors and can be time consuming. Our clients can send multiple requests for anything they require to be actioned and completed at the touch of a button, keeping clients away from their email inbox by monitoring responses directly from ComplyPortal.” – Simon Booker, Client Services Manager at ComplyPort

Find out more about our Monitoring module and the rest of the ComplyPortal platform at:

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
  • Training: access our CMLS platform for all Compliance and Governance Training