Compliance
Simplified, effective management
The compliance challenge is not new, but how you meet that challenge can be. To effectively support your compliance function, your firm needs:
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Engagement: All employees are part of the compliance story, and their engagement is critical to your obligations to regulators and supervisory bodies.
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Control: In today's highly regulated world, evidencing your current and historic controls is more important than ever.
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Oversight: Compliance in a silo is no longer an option. Your individual responsibilities require you to have complete oversight.
Microsoft 365 provides all the tools you need to meet this compliance challenge.
We have used these tools to create the Compliance Hub, which enables regulated firms to easily establish best practice compliance engagement, control, and oversight across their organisation. The Compliance Hub uses Microsoft 365’s security, availability, and familiar usability to help you optimise the way you manage and control your compliance operations.
WHAT DOES IT DO?
Compliance Features and Functionality:
Using the Compliance Hub will simplify the management of your compliance and operational processes, enabling you to meet all your important compliance obligations on a single platform.
More easily meet your regulatory compliance obligations
Automate processes with customised workflows
Increase compliance engagement by simplifying access for all staff
Reduce data risk and complexity of externally hosted solutions
Eliminate the cost of externally hosted solution
Increase record keeping and audit trails
Real-time dashboards provide oversight for the compliance officer and external compliance consultants
BRINGING EVERYTHING TOGETHER
The So365 Compliance Hub
The Compliance Hub brings everything you need to manage your compliance into one place. All your registers, calendars, and activities, with connected apps and compliance intranet services available for all your staff.
COMPLIANCE OFFICER ROOM
Manage core compliance control room functions, such as compliance monitoring and testing, regulatory reporting, complaints, incident management, and regulatory risk.
A Compliance Officer Dashboard provides complete oversight, with an immediate view on the status of all activities and the ability to take action quickly and easily. The Compliance Officer Room also provides robust policy management functions, so clients can easily control, review, approve and publish their important policies and procedures, including the ability to issue all staff with recurring compliance declarations.
Using the Compliance Officer Room will simplify the management of compliance processes, release your staff from manual record keeping activities, and protect your firm by enforcing rigorous controls and enhancing management oversight.
OVERSIGHT DASHBOARD
The Oversight Dashboard is designed for the firm’s Partners and other members of the leadership team that are outside the dedicated compliance function.
It provides an up-to-date view on the status of all compliance activities, including oversight of overdue or late activities and the ability to interrogate historical data for activities in previous years.
EMPLOYEE COMPLIANCE
Makes compliance and the firm's current policies and procedures accessible to all staff, enabling them to sign declarations and to view and submit personal disclosures, benefits, and personal trading.
Employee Compliance services are accessed using the friendly and easy to use My Compliance Dashboard that connects all staff to the central compliance function. It provides staff with a comprehensive set of tools to easily manage their own individual obligations.
