Compliance Program Management

A fully integrated platform to demonstrate compliance program management and provide proof of compliance to financial regulators.

MyComplianceOffice allows firms to take a modern approach to compliance management and improve their compliance program management efforts. Our compliance monitoring software solution can help financial services firms with:

• Perceived, Potential or Actual Conflicts of Interest (COI)
• Policies & Procedures
• Attestations and Certifications
• Dynamic and Customisable Disclosures
• Configurable Forms and Questionnaires
• Compliance Calendar and Tasks
• Compliance Document Management

Expectations are high for compliance professionals to add meaningful insights on risk and to keep pace with the changing regulatory environment. MyComplianceOffice makes this easy with our calendaring and task management functionality that provides full transparency into compliance responsibilities, deadlines, results, and follow-up actions. Firms choose MCO to obtain the right tools to monitor and manage compliance programs.

• Schedule, assign, and categorize recurring or ad-hoc tasks and activities
• Document the testing of policies, procedures, and outcomes
• Streamline compliance investigations and annual compliance reviews
• Log meetings and conference calls with associated documents and notes
• Create a CCO activity log
• Meet regulatory filings and deadlines
• Identify potential gaps and opportunities for improvement in your compliance program

To speak with one of product experts about Compliance Program Monitoring and Management with MyComplianceOffice, complete this form. Or to learn more about Compliance Management and why it is important, consider reading our recent blog HERE.

Policies & Procedures

Load your firm's Policies and Procedures and attach them to disclosures, to be downloaded and attested as read and understood by your users.

Configurable Disclosures

The configurable disclosure capability allows you to create your own disclosure form, which can be made available to a single group or your entire firm. Compliance officers can use our compliance software to develop disclosures relevant to the firm. These forms can be routed using our configurable workflow. Employees and Supervisors can add their own comments and actions to all forms.

Or, you can use our disclosure forms, which are linked to our rules engines, such as Gifts and Entertainment, Outside Business Interests, and Political Contributions (Charitable Donations), which are available in their own unique modules for other Conflicts of Interest workflows.

Task Management and Compliance Calendar

Our Task capability allows you to set up recurring or once-off compliance tasks to be completed. This is an important part of your compliance program and relates to the "implementation" step of ISO 19600:2014. View completed tasks and export this information if requested during a compliance audit or examination.

Configurable Workflows

Do you have different groups within your organization that require different levels of workflow and approval? MCO's configurable workflow allows you to define any number of disclosure forms and have them routed to different approvers based on the end-user completing them.

Attestations

The Attestations manager enables the compliance team to quickly configure an attestation questionnaire and request its completion from any employees in the organization. This could include your Annual Code of Ethics attestation, Policy and Procedure sign off, meeting note confirmations, outside business activities confirmation, senior managers regime confirmation attestations.

Implementation

Our Compliance software allows your firm to be up and running quickly, thanks to our expert professional services staff, who will work closely with you to understand your requirements and configure your rules and templates. Our implementation team will also work to train your compliance staff so you can manage your disclosures and compliance tasks. MCO provides hands-on user training, training videos, guides, live sessions and a customer portal with expert help available 24/7 to cover any questions.

If you are trying to automate your compliance program, Our compliance software will be able to assist you in moving away from paper-based approaches or guide you through your software migration process.

At the heart of MCO's compliance platform is an integrated solution to manage conduct risk and monitor conflicts of interest, including modules to manage Employee Personal Account Dealing, Trade Surveillance, Charitable Donations, Political Contributions, Gifts Entertainment, and Hospitality and Financial Services Control Room Compliance.

We help capital markets firms to meet evolving regulatory needs and ensure compliance more easily.

Learn how MCO helped a large Financial Institution with over 3,600 employees to improve compliance and manage conflicts of interest by implementing to their compliance program our solution to monitor:

• Employee Personal Trading
• Outside Business Activities
• Gifts, Entertainment and Hospitality
• Political Contributions and Donations
• Authorisations, Registrations and Licensing

Read this customer story HERE.

Learn more about MCO's risk and compliance solutions, or download our overview brochure for more details on solutions and how we can help you with your compliance program.