Our team solutions focus on the teams responsible for managing compliance with many of the regulations businesses must observe and evidence.

solutions

Financial service compliance teams

Designed for Compliance Officers and Compliance Teams, the Compliance Team Hub will improve and simplify your compliance processes, increase your oversight and control, and will reduce your resource costs for managing compliance.

Everything you need in one place

The Compliance Team Hub includes a full suite of registers with inbuilt controls and workflows that do not just replace ageing solutions built on spreadsheets and email, but completely change the way compliance frameworks are designed and used. Our registers include Risk, Monitoring, Conflicts of Interest, Regulatory Filings, Errors & Breaches and Complaints.

Management oversight

Improve management oversight by providing Senior Management and Partners with real time compliance health checks and dashboards of key compliance metrics.

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Control and delegation

Dashboards and alerts ensure you are always on top of compliance tasks and the activities assigned to the Compliance Team or to external Consultants. Easily identify overdue or late running activities and quickly pre-empt any issues.

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Evidence and audit

Enforce rigorous controls and record keeping with full document version control and a complete history and audit trail of every change. Easily demonstrate evidence of compliance at any point in time.

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Extendability

Easily extend to provide compliance services across the whole firm with a Compliance Intranet Portal, and by adding advanced compliance features like Policy Management, Staff Declarations, Financial Promotions and Client Due Diligence.

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Ease of use

Modern workspace technology that is fully compatible with any device and accessible from any location. Simple to use, accessible and easy adoption across the Compliance Team and the wider firm.

Standard features include:

Organisations & Contacts

Centralised list of the Organisations and Contacts your firm interacts with. Sync contacts to Outlook.

Engagements

Engagements enable you to record details of all client engagements and to track review and renewal periods.

Assignment & Ownership

Assign Partners to your Clients and Consultants to your Engagements.

Utilisation

Quickly view the allocation of Consultants to Client Engagements to identify under / over utilisation.

Legal Library

The Legal Library enables predefined templates for Letters of Engagement, Terms of Business, etc. to be defined, ensuring only the latest contractual terms are used.

Electronic Document Signatures

Electronic document signature services can be integrated to the Legal Library to speed up the signing process.

Compliance Template Library

Purpose designed Compliance Template library for centrally storing and managing all compliance document templates which can be tagged by Type of Firm, Regulator or Permissions.

Client Service Activities

Client Service Activities can be scheduled and assigned to consultants. Dashboards and Alerts enable you to keep track of service commitments.

Policy Library

Policy Library for storing and controlling all Client policies, procedures and manuals.

Content Tagging

Industry specific tags (Type of Firm, Permissions, Regulator) can be attached to all hub content.

Hub extensions

clients portals

Extend the Hub by creating client specific portals, enabling clients to securely access and view their compliance information.

knowledge hub

Add a centralised knowledge area for storing internal or external research and industry papers.

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extensions

Client portals

Vertical Divider

Security

Each of your clients has secure authenticated access to their own portal.

Sharing

​Clients and Consultants can easily share information with each other.

Branding

Dual branding for both your Hub and for each of your client sites.

Client portal features

Compliance Calendar

A Compliance Calendar can be populated for each Client and tailored to their regulatory permissions and business dates, providing visibility of key dates.

Automation

The Client or Consultant can update the event to confirm the action has been taken, this generates a new event for the following year.

Consultant Views

Upcoming events are displayed in the Consultant Hub, providing the practice with a single view of all Client upcoming events.

Document Library

A document library enables the Consultant and Client to upload and share information. Alerts inform the Consultant when new information is uploaded.

Compliance Alerts

Clients can record “Compliance Alerts” such as errors & breaches or complaints. Consultants can review and respond to each Alert.

Client Documentation

Each client has a filtered view from the Consultant Hub of all policies, procedures and manuals that apply to them.

Portal extensions

Easily extend the Client Portal solution you provide to Clients with additional plug-in compliance services.

Client Due Diligence

Secure store for the Client to upload Client Due Diligence documents related to a Client or Investor and to submit to the Consultant for review and / or approval.

Financial Promotions

Secure store for the Client to upload marketing and other financial promotional material (including supporting documents) for the Consultant to review, comment and / or approve.

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extensions

Knowledge hub

A purpose designed Knowledge Hub for storing, organising and publishing internal and external research and industry documents.

Electronic Classification

Replace archaic folder structures with modern metadata and electronic classification techniques.

Intelligent Views

Provide Consultants with intelligent views of recent knowledge articles and powerful search capabilities to find historic information.

Mobile Compatible

Fully mobile compatible, enabling knowledge documents to be accessed when on the move.

News Management

The Knowledge Hub has powerful news creation and publication capability enabling knowledge and industry news to be easily disseminated.

Client Portal Publishing

When Client Portals are connected, news can be tailored and published on each Client Portal home page.

Regulatory Events

Centrally record and track key industry and Regulatory Events, and publish these to staff and to clients through Client Portals.

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Download the Consultant Hub solution brief

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Contact us for more information

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