FCA Compliance Suite
A suite of data collection, workflow tools and e-learning training courses specialising in core regulatory requirements
Businesses regulated by the FCA are faced with the challenge of managing the tangible impacts of operational and conduct risk within their businesses against the FCA’s risk outlook. Technology implementation is seen as a key strategy to achieve this by enabling real time visibility over day-to-day conduct, centrally managing activity and streamlining reporting.
This module will assist businesses that are looking to move away from time intensive paper based review process to an automated, cost effect solution. Dashboards and reports display real time, customisable information on the detail of audits completed across departments, individual staff members and work type. These can be scheduled ahead of time, increasing efficiency throughout the business.
Within the system, complaint information can be entered by any user and is instantly visible in a central, cloud based platform. Overall improving efficiency, eliminating wasted time in collecting data, reviewing complaints and producing dedicated reports such as GABRIEL.
By using the risk register module, staff are able to provide clear and concise reports to their fellow colleagues or management team, enabling them to create and maintain an effective risk management strategy. A reduction in the overall exposure to risk will either remove or reduce the impact of potential unforeseen costs whilst protecting the business' reputation and market image.
The Breach module enables compliance professionals to set up a robust reporting line between staff and their compliance function. Breach reports are then automatically routed to supervisors prompting them to decide on the materiality of the breach, providing guidelines to report to regulators if necessary, as well as scheduling tasks for any remedial action that needs to be taken.
To compliment our FCA Compliance Suite we offer a range of off the shelf training courses featuring Cyber Security & Data Protection, as well as the ability to create your own bespoke courses.
Third party training can also be tracked and recorded on our cloud based Learning Management System, centralising all aspects of training and competency records to a single platform.
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