What is ComplyTracker?
ComplyTracker is an industry-leading compliance management system for FCA regulated firms.
The system represents a complete compliance infrastructure which enables firms to efficiently manage their compliance documentation, complete compliance monitoring tests and track outstanding reviews.
The ComplyTracker solution incorporates a firm’s compliance monitoring programme, policies and registers and creates a central access point for the Compliance Officer and other designated staff to upload and share documents.
With ‘at a glance’ functionality, the firm’s Compliance Function can easily monitor:
- Employees’ training records
- Personal account trades
- Gifts and hospitality requests or notifications
Creating a more accessible and transparent compliance environment.
They can verify when individuals have completed specific tasks, and users will be granted full or restricted access, depending on their role.
Clients will gain additional benefits from ComplyTracker as it allows our consultants to create and upload new documents for review with the firm and pre-review monitoring records.
Why use ComplyTracker?
With the FCA committed to pursuing an intrusive approach, combined with an increasingly complex and punitive regulatory environment, firms must have in place robust systems to manage and reduce regulatory risk.
Furthermore, investors are demanding more than ever to see evidence of strong compliance controls within firms.
In the event of a visit or call from the regulator, ComplyTracker compliance management software helps demonstrate clear and up to date compliance records with a fully visible audit trail.
Advantages of ComplyTracker
- Next generation compliance
- One of the first systems of its kind, built specifically with FCA compliance in mind
- Bespoke monitoring calendar to allow you to view your schedule and keep track of overdue reviews
- Optional pro forma questionnaires help simplify compliance monitoring
- Efficient management of compliance documentation with archive function and audit trail
- Record keeping is enhanced as all data is stored in one place
- Access from PCs, laptops or tablets
- Multiple users
- Data security – built on a fully penetration-tested platform
- Tailored to individual clients’ compliance needs
- Regularly updated to reflect the latest regulatory developments
- Demonstrates to regulators and investors that the firm has robust compliance controls in place