Compliance Screens and Workflows
The DeskTop allows the compliance officer to track compliance issues from the initial receipt (regardless of which Communication Channel receives the initial inquiry or complaint), through the interview and capture of type of issue and subsequently through each step of the process. Interview and review information are always maintained as part of the issue so that all information and review notes are in one place. The DeskTop also provides access, through various data views as to the status of all matters handled by the compliance department.
DeskTop incorporates industry 'best practices' Company policies and standards
The DeskTop allows the compliance department to capture all company policies, standards and other compliance-related policy documents including versioning and approvals. This provides a single place for management of compliance-related material and documents for day-to-day reference and application by compliance department personnel.
Workflows - the key to increased efficiencies and compliance 'best practices'
Workflows lead users through the process of managing each compliance matter in accordance with institutional policies and allows each step of compliance to be tracked and documented. Repeatable workflows and status reporting are designed into the Compliance DeskTop and incorporate compliance 'best practices' from leaders in the compliance industry.
DeskTop is a Complete Compliance Program that starts at $5,000 per year for an unlimited number of users.