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Compliance Oversights

Built for larger compliance teams who are stacked with emails and paperwork looking for a simpler and easier way to work
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An overview of your firm’s compliance processes

Working with compliance managers, we noticed that there is a need to streamline the approval and requesting processes in compliance teams.

Action Management

Authorised users are able to approve or deny actions such as changes to a client's status or to report them.  All tasks are grouped in a single location.

Task Management

Create tasks for clients to complete via their dedicated client portal. Tasks such as proof of funds/wealth checks.
Reports

Suspicious Client Reviews

Manage potential high-risk clients  by requesting a suspicious client review which will send a notification to your compliance manager / MLRO to review and approve or deny.

Suspicious Activity Reports (SARs)

If you need to report a suspicious client, you can follow a link through to the NCA website. You can then track the number of days that pass once it’s reported and keep a record of its submission on file.
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