Compliapps
Compliance tools for regulated financial services firms
Why use compliapps?
Low Value Task Automation
Automate the mundane and repetitive parts of compliance. Digitise your monitoring plan.
Registers & Approvals
Logging of significant events and registers i.e. Conflicts, Breaches etc. Approvals from management for things like PA Dealing, gifts etc.
Central, Auditable Evidence
Everything compliance in one place. Secure indelible record of staff actions. Easily exportable for MI.
Core Compliapps
Tasks Monitor
Create ad-hoc reminders to colleagues to complete compliance tasks. Monitor personal, company and all staff tasks
Documents
A central location for all your company compliance documentation. All documents can be attestable by staff
Monitor
Organise and centralise your firm’s Compliance Monitoring Plan. Remove the need for paper-based tasks, replace spreadsheets
Optional Add-ons
Risk Dashboard
3D view of Rules, Risks, Controls and Evidence of actions. Reminders to staff for task completion
Rule Book
Upload any rule book and attach risks and controls. FCA digital handbook now available
CRM
Store all client compliance data. Schedule automatic periodic reviews. Store key KYC data like ownership etc.
Compliapps Use Cases
Operational Risk Management Software
The Financial Conduct Authority (FCA) requires that firms take reasonable steps to put in place and maintain appropriate internal controls
Client Assurance & Onboarding Software
A smooth relationship between you, your outsourcing providers and client onboarding for effective oversight
ICARA Calculation & Modelling Software
Use our ICARA platform to create; Time series creation, P&L Forecasting, Stress testing, scenarios with comparison modes, Risk and reporting output
Over 250 companies use our platforms globally
Feedback from our clients
Hedge Fund
CO
Hedge Fund
Investment Manager
CO
Investment Manager
Retail Broker
CO
Retail Broker
Book a demo
SaaS software with no commitment or contract. Free set up and installation.
