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 1500+ customers across 105 countries find many reasons to love the award-winning MyComplianceOffice platform. Here are just a few!
#10 Easily Monitor and Archive Employee Communications
It's a regulatory and business imperative that firms can monitor employee communications to identify areas of risk and archive communications in a reportable and defensible manner. Read more about how firms who fail to properly preserve eComms face steep regulatory consequences.
MCO's eComms Monitoring and eComms Retention solutions provides firms with comprehensive communications surveillance and consolidated archiving to help reduce the risk of regulatory action and reputational damage by minimizing potentially damaging communications and storing them in accordance with firm policy and regulatory requirements. Plus, we can get firms up and ready quickly and affordably.
Using Apple iMessage at Work: Balancing Productivity and Compliance
#9 Know Your Customer and the Third Parties You're Doing Business With
Knowing exactly who your customers, vendors and partners really are is essential for preventing financial crime, protecting your firm from regulatory exposure, and maintaining trust in an increasingly complex global market. MCO's Know Your Customer and Know Your Third Party solution provides a clear understanding of the individuals and entities firms are engaging with, helping identify risks like money laundering, fraud, sanctions exposure, and reputational threats before they become problems.
With automated due diligence, continuous screening for sanctions, PEPs and adverse media, and the ability to assess, classify, and monitor risk throughout the entire relationship lifecycle, MCO streamlines compliance and eliminates the complexity of disconnected systems. Our KYTP suite leverages a global database of interconnected business entities, trusted data sources, intelligent workflows, and a fully auditable framework—giving firms a consistent, scalable, and defensible approach to customer and third‑party oversight on one unified platform.
How Well Do You Really Know Your Business Partners?
#8 Uphold a Culture of Compliance and Ethics Across your Firm
All firms must uphold a culture of compliance and ethics regardless of where they are located. Enforcement actions across the globe drive home the point that if firms fail to meet regulatory expectations, financial penalties and reputational damage will follow. And it's not just about regulatory enforcement. A strong compliance culture upheld by solid policies and procedures drives more standardized, efficient and effective operations and demonstrates to investors at all levels that the firm is managed responsibly.
The MyComplianceOffice platform provides our customers with a comprehensive compliance framework that lets compliance professionals manage regulatory obligations and the regulated activities of employees, the company and third parties—and provide demonstrable proof of compliance.
Read more about the intersection of culture and compliance and view the on-demand webinar Beyond Wishful Thinking: How to Create a Thriving Culture of Compliance with Michael Rasmussen from GRC 2020 for practical guidance on implementing a best-practices framework that supports and enhances compliance.
#7 Keep Pace with Global Regulatory Change
If there's one thing that's constant in financial services compliance, it's the presence of change. And just knowing that there's been a new or updated regulation isn't enough. It’s one thing to get a daily regulatory feed. It’s another entirely to quickly understand what matters to the firm in that feed and inform only those who need to know.
MCO provides customers with a regulatory compliance monitoring solution enabling firms to assess obligations and share requirements across the organization, implement policies and controls, monitor and surveil for adherence to policy, measure risk and easily provide proof of compliance—all via one integrated and easy to use platform.
Watch a Video on the Challenges of Effective Regulatory Change Management
#6 Get a Handle on Managing Insider Information
Insider information—including MNPI (Material Non‑Public Information)—poses significant regulatory, operational, and reputational risk when not properly controlled. As regulations intensify, accurate insider lists, clear information‑barrier controls, and real‑time monitoring have become essential elements of a defensible compliance program.
MCO’s Insider and MNPI Management solution centralizes the tracking, control, and reporting of sensitive information across deals, departments, and insiders—automating list management, capturing access events, and integrating with deal review and surveillance workflows. The result is a streamlined, audit‑ready system that reduces manual effort, surfaces conflicts early, and strengthens firm‑wide information‑barrier integrity.
Read a White Paper on Effective Insider Trading Compliance
#5 Capture 100% of Employee Trades
Preventing and penalizing personal account dealing and insider trading continues to be a regulatory priority across the globe, as evidenced by significant and ongoing enforcement 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.
Learn About Capturing Employee Trades in the MyComplianceOffice Platform
#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 Registrations and 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 Registrations and 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. Learn more about managing employee Outside Business Activities with MyComplianceOffice
Read How Optimal OBA Compliance Goes Beyond Just Disclosures
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.
Political donations and contributions compliance is top of mind in the United States right now in the midst of a contentious election season. MCO's Political Contributions and Donations solution helps firms stay compliant with political contribution and pay-to-play compliance rules. The platform provides automated workflows to manage attestations and donation preclearance requests. And to close the loop, regularly updated data at the U.S. federal, state and local level enables compliance to proactively verify donation limits are not exceeded across jurisdictions.
Plus, when compliance teams no longer have to chase employees to meet their compliance deadlines, there's more time for everyone to work on strategic endeavors and improving the company's bottom line.
#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. Remote, hybrid, and asynchronous work is here to stay. Our application makes it easy for employees to fulfill their compliance obligations while working in the office or out. 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.
Read a Tale of Just Right Compliance Technology
#2 Work with Stellar In-Region 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.
Read an Interview with MCO's Chief Customer Officer Sam Murphy
And the #1 Reason - One Single Platform 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.
