MyComplianceOffice is an innovative, cost-effective and easy-to-use platform that streamlines compliance and regulatory processes for financial services firms. Its integrated technology and comprehensive suite of solutions lets firms take a proactive approach to compliance management and the mitigation of potential conflicts of interest and risk.
Our 1300+ customers across 105 countries find many reasons to love MyComplianceOffice. Here are just a few!
#5 MyComplianceOffice captures 100% of employee’s trades
Preventing and penalizing personal account dealing and insider trading continues to be a regulatory priority across the globe, as evidenced by significant enforcement in 2022 and 2023 across North America, EMEA and APAC.
Add the complexities and heightened potential for market abuse and manipulation that can arise from hybrid and flexible working arrangements to the regulatory scrutiny, and Compliance Officers have a lot to be concerned about regarding capturing employees’ personal trades.
MCO's Personal Trade Manager automates the review of employee trades against restricted lists and business rules, and checks for potential conflicts of interest, such as insider trading, front-running and tailgating. By automating personal trade surveillance, firms can achieve a holistic view of user trading and holding data while increasing efficiency and effectiveness.
#4 No more chasing down employees!
Our customers don't have to chase employees to track the status of the licensing and registrations required for their jobs. With MCO's Authorization, Registrations & Licensing solution, firms can easily manage, capture and update Continuing Education, roles and responsibilities, and licenses and expirations for new and existing employees. With MCO's Authorization, Registrations & Licensing solution, compliance teams can easily manage high volumes of data while ensuring licenses and continuing education requirements are up to date.
MCO's Outside Business Activities module automates the process of capturing and managing employee OBA activity, facilitating the efficient identification, monitoring, and resolution of potential conflicts of interest. With MCO's Outside Business Activities solution, firms can automate the OBA reporting and attestation process from end to end. And integration with FINRA makes regulatory reporting on both Authorizations, Registrations and licensing and Outside Business Activities easy.
Gifts and Entertainment compliance gets a lot of attention during the holiday season, but it's a round-the-year concern for Compliance Officers. Beyond year-end gifts and parties, firms should have policies and procedures in place to monitor ongoing entertainment and hospitality activities such as event tickets, golf invites and dinners out.
MyComplianceOffice helps customers to automate their global Gifts and Entertainment policy, set rules to deliver the policy, and control pre and post clearances activities and reports. MCO's Gifts and Entertainment module makes it easy to send information about policies and regulations to employees, and the platform's intuitive interface makes it simple for employees to comply. MCO's Gifts and Entertainment module can be integrated with other internal systems, including HR, so both Compliance and HR departments can have control and insight into the conduct risk profile of each employee and receive confirmation that employees have read and understood the policy.
#3 Keep Compliance front and center
MCO keeps compliance front and center for busy employees. With access to compliance obligations easily at hand on their mobile devices, staying compliant is simple and convenient. Our application makes it easy for employees to fulfill their compliance obligations while working remote or hybrid. With employees working from home and no longer within eyesight of their compliance officer, our automated platform sends employees reminders of required tasks to be completed—and sends reports of missing action items or irregular employee activity to compliance teams for review.
#2 Stellar customer support
Our seasoned and tenured global customer support and success group has significant product and industry experience and deep system knowledge. Friendly local support teams across the United States, EMEA and APAC are proud to provide users with 24x6 customer support.We're committed to our customer's success and always striving to better understand and anticipate client needs. Our team provides resources for firms to maximize their investment in the MyComplianceOffice platform, including articles, videos, webinars and customer-only user groups.
And the #1 reason - a single integrated solution to meet your Compliance needs, now and down the road
A single login to a single system means that employees know exactly where to go to manage their compliance obligations. And a single source of data provides Compliance with comprehensive oversight across the organization using one intuitive system, plus the ability to easily evidence compliance to regulators and senior leadership.
Your compliance platform should not be a one-and-done investment. As regulations and business needs evolve, the MyComplianceOffice platform allows compliance programs to evolve right alongside. Firms can choose the solutions they need today, and add additional capabilities as needs arise, eliminating the need for 'swivel chair compliance' across multiple systems. Our capabilities will let your firm:
Ready to see firsthand why customers love MyComplianceOffice? Schedule a demo right now for an overview of how the platform works and insight on how we're helping firms like yours achieve effective, efficient and integrated compliance.