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 and 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.