Managing compliance risk is more challenging than ever before. The operating environment for financial services firms is complex, and the cost of noncompliance is high. The pressures on compliance teams to get the essentials right and to add business value are enormous.
Our software solutions help compliance teams from around the world better manage their day-to-day activities, so they can focus on the more strategic parts of their roles. Developed by compliance executives for compliance teams, our technology automates a range of compliance processes, from the team’s own workflow to front-office compliance tasks. Using these solutions also helps make adapting to regulatory change quicker and easier.
Compliance ELF (Employee Level Filing) streamlines the compliance process related to personal trading/dealing monitoring, affirmations, gift and political contribution reporting, and much more – for both employees and the compliance team.
The compliance team can be assured that processes are being effectively implemented, while having a “one stop shop” for all their compliance activities.
Trying to manage the wide range of compliance obligations for a firm through spreadsheets, email, and manual calendars can result in gaps, dropped balls, and lost opportunities. Even smaller organizations can struggle with managing what is due, and when.
Pilot is a GRC workflow management tool designed to help teams navigate complex compliance and operational tasks and processes from start to finish.