Streamline All Your Compliance Needs.
Keep your team aligned by drafting, finalizing and collaborating on important documents (e.g. annual plans) in a centralized repository.
Manage your company and partners’ procedures with live collaboration, version history, and attestation capabilities to simplify your processes.
Store important documents such as legal agreements, pricing sheets and terms and conditions so all stakeholders have access to the latest versions.
Collaborate on sales material between departments and provide real-time comments with an easy to use interface.
Built in checklists for department stakeholders to conduct due diligence and approve new products and services.
Identify and track firm-wide issues to determine appropriate action plans, risk rate issues and create alerts.
Create risk methodologies and questionnaires to automatically score your partners’ risk.
Create an inventory of potential company risk, assign inherent and residual ratings and link company controls used to mitigate risk.
Create an inventory of controls, identify effectiveness & perform attestation of controls to meet applicable regulatory and contractual requirements.
Track complaints from multiple sources centrally to make sure complaints are handled in a timely manner.
Monitoring and Testing
Record internal company testing which has validated your company’s compliance procedures.
Log customer complaints and resolutions for easier oversight from regulators like FINRA.
Store audit reports and and audit issues across IT, Compliance and Finance so risk managers and board members have access to all outstanding company issues.