Automate your compliance framework
with targeted workflow automation and training
Number of automated compliance workflows
Number of hours saved per month
Compliance management is changing
- The volume of compliance requirements at product and firm level is increasing.
- Compliance frameworks need to be customised to fit a broker's business.
- Regulatory compliance has become a more serious issue.
- Automation is reducing cost, saving time and increasing accuracy.
Industry Pain Points
- Volume and frequency of compliance checks and training.
- Lacking a central repository of all compliance evidences.
- No existing compliance management tools specific to Brokers.
- Additional expense of hiring full-time compliance personnel.
Our Solution
- A robust compliance framework based on preset date triggers.
- Portal to house all evidences, declarations and confirmations.
- Automated workflows reducing need for FT compliance personnel.
- Support in managing any visit from the regulator.
- Act as your compliance consultant if required.
Automate your compliance framework through Smart Workflows
Save time & money on compliance
- Automation removes need for full-time resource
- Low monthly subscription service plans
- Run additional workflows at no extra cost
- Monthly subscription fee includes VAT
Implement workflow automation
- Select the dates you want workflows to begin
- Include team members involved in the workflow
- Automated task notifications and prompts
- Tasks can be automated to occur more than once a year
Access pre-built workflows
- Customise your compliance framework
- Select from a suite of pre-built workflows
- Workflows include review, training and declaration
- All workflows updated against regulatory requirements
Monitor compliance in your Broker Portal
- Access your own Broker Portal
- Acts as a centralised evidence archive
- Keep records on annual reports and notifications
- Allocate training to team members
Build your own bespoke, on-demand compliance framework.
Reviewing annual returns made to the Central Bank of Ireland.
Ensuring conflicts of interest are identified & managed.
Managing money laundering risk and fraud prevention
The process of recording provided to clients.
Compliance with fitness & probity standards for PCFs.
Adequacy of broker governance arrangement.
Ensuring adherence to GDPR rules around personal data.
Ensuring all identified risks are being mitigated and managed.
Annual training and minimum competency requirements.
Comparison of target market to product fit.
Required regulatory disclosures to clients.
Assess procedures and professional indemnity policy.
Explore a new way to manage your compliance
Submit your email and a member of our team will contact you to arrange a demo.
Get started in 3 easy steps
01/
Choose the plan that best suits your needs from our compliance essentials to a premium plan that offers a fully customised compliance framework for your broker business.
02/
After signup, we immediately get you and your team onboarding with access to your own Broker Portal Workspace.
- First contact with our team
- Get access to our broker portal
- Setup user administrations
- Discover our review platform
- Submit compliance requirements
- Create your first review workflow
- Create a learning plan for employees
03/
Now its our turn to get to work, starting with your Initial Compliance Audit followed by any requested compliance reviews workflows or support queries.
- Initial Compliance Audit
- Start your compliance workflow plan
- Get priority support - email & live chat
- Submit review requests on-demand
- Get representation for regulator queries
- Access reporting for learning plans
- Receive ongoing support
€XX / month
Platform
Dedicated Broker Portal with access to automated compliance workflows.
- Dedicated Broker Portal
- Unlimited Compliance Workflows
- Automated Prompts & Notifications
- Declaration & Confirmation Tracking
- Evidence & Document Archive
- Online Training
- Email Support
€XXX / month
Support
Compliance support from a team of compliance professionals.
- Initial Compliance Audit
- Annual Compliance Reviews
- Annual Onsite Visit
- CBI Visit Support
- Compliance Consultant on Retainer
€XXX / month
Platform + Support
Full platform access with unlimited compliance workflows & support.
- Dedicated Broker Portal
- Unlimited Compliance Workflows
- Automated Prompts & Notifications
- Declaration & Confirmation Tracking
- Evidence & Document Archive
- Online Training
- Email Support
- Initial Compliance Audit
- Annual Compliance Reviews
- Annual Onsite Visit
- CBI Visit Support
- Compliance Consultant on Retainer