Find out more about how ComplyPortal’s Monitoring module can make your compliance management much easier and efficient.

As a regulated firm, compliance monitoring is a necessity. However with regulators such as the FCA continually tightening and introducing new regulations, Compliance Officers and teams are finding the manual and time-consuming ways of managing their Compliance Monitoring a harder and harder task.  At ComplyPortal, know that digitising compliance helps to remove elements of human error while ensuring that your important – but potentially repetitive– compliance tasks are completed. This frees up Compliance Officers and teams to use their all-important human skills and expertise to tackle more nuanced compliance tasks.

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

Key features:

  • Monitoring questionnaires digitised and scheduled out for the whole year
  • Records of completed monitoring activities
  • Reminders of monitoring tasks that are due or upcoming
  • Full reporting and audit trail to help with regulatory reports and internal audits
  • Assignable tasks to groups or individuals
  • Configurable to meet a your firm’s bespoke Compliance Monitoring 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, saving Compliance Officers and teams up to 10 hours per month on Compliance Monitoring. ComplyPortal’s cloud-based solution means you can monitor compliance remotely from your home office, supporting work-from-home needs and keeping the 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 Teams it is a challenge to know what to monitor and appropriate scheduling of their monitoring tasks. The current regulatory requirements are dynamic and always changing, so software solutions like ComplyPortal can help. ComplyPortal can become a member of your team and will be there to support not only your monitoring tasks but also the recording of evidential information that can support the monitoring and other business requirements.

“The beauty of ComplyPortal is that it has been built by Compliance staff for Compliance staff to make Compliance simple. That means it has exactly the right tools, mechanisms and resources to stay on top of CMP tasks in one straightforward platform, with options to customise the platform to suit your firms needs and requirements. As technology is constantly evolving, every Compliance Team should look to implement a tool which makes CMP oversight and administration simpler and more efficient. This will allow for more time to focus on other areas of the business and your companies growth” – Joseph Burke – Consultant, 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 LMS platform for all Compliance and Governance Training