Choose from a wide range of apps to suit your GRC needs
Tasks Monitor
- Create ad-hoc reminders to colleagues to complete compliance tasks.
- Embed documents or other information into the task.
- Monitor personal, company and all staff tasks.
Monitor
- Organise and centralise your firm’s Compliance Monitoring Plan (CMP) by scheduling and logging your operational activities around the major GRC activities; Governance, Risk Management and Compliance.
- Remove the need for paper-based tasks or replace disparate spreadsheets, calendars and other office tools. Universal cloud based access with a full audit trail, demonstrate to the FCA, clear up to date compliance records.
Registers
- Centralise your company’s registers in one place.
- PA Dealing, Gifts, Entertainment, Financial Promotions, Compliance breaches, GDPR requests and many other types of register.
- Custom workflows can be configured if multiple people need to sign off on an item. Do away with an inbox full of emails!
Trainer
- Ongoing training is a core part of compliance, whether that be AML or GDPR. Our trainer app can deploy, monitor and track your staff’s training.
- You can upload your own courses or choose from our list of training materials
- Many courses can be logged against a personal CPD Certified Professional Development quota.
Affirmations
- Periodic staff affirmations can be automated and reminders sent at key dates.
- Staff can then digitally affirm that they “have not seen any evidence of money laundering” for example.
- All affirmations are logged and available for reports / audit.
Approvals
- Periodic staff affirmations can be automated and reminders sent at key dates.
- Staff can then digitally affirm that they “have not seen any evidence of money laundering” for example.
- All affirmations are logged and available for reports / audit.
Open Registers
- Companies that need to track and monitor key information in their business can utilise open registers.
- Client on boarding may require key information to be captured in a specific format or order.
- A company risk register may change on a regular basis-
Campaigns & Public Forms
- Collect data directly from your clients through a secure email link or website.
- Possible uses include client on-boarding, KYC and ongoing suitability assessments.
- Data collected is directly injected into the compliapps database, alerts can be generated for “risky” answers submitted or answers that need further attention.
CRM
- CRM to store all client compliance data.
- Schedule automatic periodic review tasks to staff.
- Store key KYC data like ownership and attach documentation.
Personal Account Dealing
- Automatically pre-approve or decline PA trades.
- Upload any security master file for instrument lookups.
- Any instrument not in security master can be manually approved
Documents
- A central location for all your company compliance documentation. Docs are versioned showing the latest iteration and all previous versions can be stored for audit.
- All documents can be attestable by staff showing who has agreed and confirmed they have read the document.
Governance
- Setup of committees and schedule meetings.
- Upload agenda packs for pre-meeting review.
- Add meeting minutes, attendees and follow.
Rule Book
- Upload any regulatory rule book.
- Automatically track rule changes.
- Link rules to risks and controls for a 3D view of your compliance.
Risk Dashboard
- Manage ad track compliance, operational and business risks.
- Implement control mitigation measures and link to compliance items like tasks, monitoring tests etc.
- Risk dashboard shows your current state of play.
For bespoke software, email us your requirements to
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