Better Compliance Assurance Starts Here

Get it right the first time with ongoing monitoring to verify that your policies, procedures and controls are working effectively.

COMPLIANCE BUILT BETTER.™

Increase transparency and efficiency. Gather compliance data and performance metrics across all lines of defense and automate procedures and controls. Plan testing to address core focus areas.

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Take the pulse of your compliance program. Test the reliability of compliance policies, procedures, and internal controls to easily identify areas for improvement.

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Heighten awareness of risk in real-time. Test and assess the quality of risks and controls to find and manage gaps on an ongoing basis.

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VERIFY MEASURES HAVE THE INTENDED IMPACT

Just having policies, procedures and internal controls isn’t enough to satisfy regulators. Your compliance team must also prove to regulators and the board that these measures are working as expected.

Provide that proof with the up-to-the-minute compliance data to show that your policies and procedures are effective in everyday practice.

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EASILY IDENTIFY AREAS OF IMPROVEMENT

Regulators around the globe expect a proactive and forward-looking approach to compliance.

Continual and automated monitoring of internal control performance lets you quickly pinpoint areas for update and remediation before they escalate into more significant issues—and before the regulators take note. 

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TAKE AN AGILE AND INTEGRATED APPROACH

Take an agile approach to compliance with maximum flexibility in how you capture assurance data without the need for technical expertise or assistance.

Assurance data can easily be added from other MCO modules or internal systems.

Automate the testing and verification of internal controls and procedures to track proof of compliance and identify areas in breach.

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Gather information as qualitative or quantitative data.

Plan control testing and customize frequency to focus on the most critical areas.

Assign executive accountability to obligations and internal controls.

Produce control histories, reporting and a defensible audit trail. Generate reporting with proof points organized by regulation under review.

The platform is designed to be easily customizable to fit the unique needs and policies of different organizations.

Compliance Assurance Manager is part of MCO’s Know Your Obligations solution suite. KYO offers firms a structured, integrated solution that links external obligations and regulations to internal policies, procedures and controls.

Firms of all sizes choose KYO to streamline oversight of obligations and develop a complete picture of compliance assurance over time.

Testing and Metrics for Compliance Assurance

Understand the effectiveness of policies and procedures to verify that measures have the intended impact and identify areas in need of improvement. Compliance Assurance Manager lets you increase efficiency across your compliance program by automating procedure and control attestations and planning the frequency and focus of testing with flexible data capture without the need for technical expertise or assistance.

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Guide to Compliance Oversight

Read what it takes for an effective compliance oversight process.

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