MyComplianceOffice Blog

Tracking employee compliance credentials including licensing, registrations and continuing education is a complex endeavor. 

Using spreadsheets to track compliance with employee qualification and certification requirements sounds like a cost-effective and simple way to keep track. But when you factor in all of the potential licenses, registrations and continuing education updates that are potentially applicable to employees of a financial services firm and all of the moving parts that go along with them, it’s a daunting task with much room for error.

Once upon a time, there was a company that was looking to purchase compliance software. The software and manual processes that the firm was using to manage compliance just weren’t keeping up with the firm’s growth and it was time to move on.

But like Goldilocks in the classic tale of the Three Bears, they found that not all compliance software was just right.

It’s 4PM on a Friday. You were hoping to wrap up for the day to start your weekend, but there’s a deal to be closed. The CEO is looking for confirmation that there are no conflicts around outside business activities or any other potential conflicts of interest, and he needs that info stat.

Much has been written about the Great Resignation of 2021 and 2022. In addition, the past few years have seen workplace norms disrupted by COVID and working remote. What’s been the impact of a shifting employment landscape on compliance in the financial services industry?

MCO is a growing SaaS-based software company, and our employees make a significant impact on this success. We are pleased to show you the backstage of our operations, bringing you closer to our team members. The “meet a member of the team” series remove the attention from our products and services to feature our people.

This month, we’re delighted to introduce you to a member of our Front-End team at our Dublin office, Conor Sexton.