Explore how ComplyPortal enhances efficiency in your organisation’s processes

Access to well organised information is a business standard that cannot be neglected in order for a firm to have successful operations. Whether a firm is large or small employees need to be able to access important information not only for compliance but in order to follow daily standard operations.

Having organised documentation and systems can be the most basic step in ensuring a culture of organisation and efficiency across all employees. Something as simple as the inability to access documents can be the first break in a chain reaction of delay and miscommunication leading to further issues such as demotivation or even loss of information.

It is common for firms to have their unique method of data storage whether its SharePoint or Teams folders or N drives but the spread across these systems is where issues can arise. Effectively implementing systems whereby employees know where they can find and access necessary information as well as integrating lines of communication is a valuable step in improving organizational operations.

ComplyPortal’s cloud-based solution offers a central access point where information can be accessed, reviewed, attested & approved. This includes Registers, Documents, and Attestations modules. The three modules together can solve the issues raised in this article by providing the following:

Registers:

  • Permission based access point for employees to enter requested data
  • Create relevant entries into existing stored lists
  • Create follow-up tasks attached to specific entries

Attestations:

  • Create group or individual attestation/declaration tasks
  • Automatic email reminders
  • Create your own questionnaires to record necessary information

Documents:

  • Attest that documents have been read and agreed to
  • Archive documents all in one secure central data store accessible anywhere
  • Review of documents can be assigned to individuals or groups for completion and record approval trail.

To see how these modules can improve your firm’s accessibility and organisation Book a Demo

About ComplyPortal:

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.
  • Approvals: authorise request and keep track of workflows
  • 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 LMS platform for all Compliance and Governance Training
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