Trading Firm Streamlines Compliance Systems and Enhances Reg Change

INDUSTRY: Proprietary Trading
COMPANY SIZE: 200 employees 
LOCATION: Ireland 

The Company 

A leading proprietary trading firm specialising in the global listed derivatives market. 

The Challenge 

Satisfied users of MCO’s Know Your Employee solution for quite a few years, the Dublin based compliance team was keen to reduce the number of systems that they needed to manage. They were also looking for more advanced technology to handle their regulatory change management processes.  

UK Wealth Management Firm

Read Customer Stories

The MCO Solution 

The firm had a solution in place for regulatory change management and horizon scanning, but they were eager to both consolidate systems and expand capabilities. The team felt that MCO’s Regulatory Change Manager module provided more comprehensive functionality than their existing solution. The firm also added Know Your Obligations’s Compliance Library Manager, Compliance Assessment Manager and Assurance Data Manager, enabling them to efficiently link their policies to their risks and controls, for even more enhanced oversight of compliance obligations. The fact that they could get the Know your Obligations capabilities as part of their existing MyComplianceOffice platform sealed the deal.  

Related Resources

Read a User Case Story about Regulatory Change Management

The Right Indicators Bring Clarity to Assuring Compliance Oversight

Download A Guide to Compliance Oversight