Monitoring Module
Monitor the Effectiveness of your Compliance Programme and Business Processes are in line with Company Policy or Regulatory Obligations
Manage year-round schedules of monitoring questionnaires to evaluate the effectiveness of your business and regulatory policies and procedures. ComplyPortal centralises your compliance data, giving senior management visibility into critical information and transparency regarding potential areas of risk. This enables companies and compliance teams to proactively address potential issues before they escalate into problems.
Easily assign ownership, notify and prompt when they are due, track completion or overdue status, and record the effectiveness of your firm’s Governance, Risk Management, Compliance and Operations.
A calendarised, audit-driven approach to take the burden out of testing your organisations’ compliance related programmes.
How it works
- Setup a schedule of monitoring events, with test start date, frequency and deadline period to complete evaluation.
- Choose from a library of questionnaires designed as compliance monitoring tests for specific areas by our team of consultants or digitise your own.
- Compliance monitoring questionnaires can be customised to suit organisation needs, they can include large amounts of information or be as simple as a check box.
- Assign monitoring questionnaire tasks to an individual or groups on a scheduled basis and track completion.
- Email notifications and reminders are automatically sent to remind group members questionnaires are due to be completed.


How it helps
- Compliance monitoring questionnaires can be completed by a single member of the assigned group or shared amongst the team members best suited to answer or evaluate the topic.
- All monitoring questionnaire responses are stored with ComplyPortal for future reference and to further evaluate the overall effectiveness of your compliance programme as a whole.
- Reports can be downloaded by using filters to select time periods, completion status, and data required for specific questionnaires.
- Preset schedules help keep compliance teams on top of their processes and procedures and more responsive when changes are needed.
- Valuable time can be saved by use of features such as 'remember answers', allowing peers to review previous responses prior to completing current monitoring tests.
Challenges
- Losing track of what needs to be done and what has been done
- Turnover of staff and knowing where to pick up on compliance monitoring
- Collating information for monitoring reports
- Chasing staff for task completion
- Not knowing where responsibility for task completion lies
Solutions
- Easily track completed, overdue, due and future tasks all in one place
- All completed tasks are stored in one place and can be easily filtered and downloaded into reports
- Staff are automatically notified via email or within application that they have tasks due for completion
- All tasks clearly highlighted who they are assigned to and the relevant individual or group responsible for completion
Additional Benefits
- Secure remote access ensures seamless deployment of company updates and efficient collection of acknowledgment
- On hand client services team, to reduce time consuming admin tasks
- Export reports, download reports of task completion that can be filtered by custom fields
- Issue important information quicker and improve company compliance efforts




- Losing track of what needs to be done and what has been done
- Turnover of staff and knowing where to pick up on compliance monitoring
- Collating information for monitoring reports
- Chasing staff for task completion
- Not knowing where responsibility for task completion lies
- Easily track completed, overdue, due and future tasks all in one place
- All completed tasks are stored in one place and can be easily filtered and downloaded into reports
- Staff are automatically notified via email or within application that they have tasks due for completion
- All tasks clearly highlighted who they are assigned to and the relevant individual or group responsible for completion
- Secure remote access ensures seamless deployment of company updates and efficient collection of acknowledgment
- On hand client services team, to reduce time consuming admin tasks
- Export reports, download reports of task completion that can be filtered by custom fields
- Issue important information quicker and improve company compliance efforts
Start your journey
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by 30X over manual
processes.
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