Compliance 360 enables a comprehensive approach to regulatory compliance, risk and audit management through a common enterprise-wide platform. With Compliance 360, leading financial services organizations are reducing risks, improving efficiencies and protecting their brands using a single platform to address their comprehensive GRC requirements.

The Compliance 360 solution for financial services provides centralized management of regulations, as well as the ability to manage all corporate policies, incident management, vendor management, surveys, remediation projects, internal audits and assessments, and risk management. You will always be “Inspection Ready” with the ability to access all current regulations and laws related to your lines of business.

The Industry Challenges

As a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act, regulatory compliance thresholds are on the rise for financial services organizations.  This increased oversight will require financial services organizations to implement effective and comprehensive compliance and risk programs. These programs will need to be cost effective and ideally create an “inspection and audit ready” state for the organization. Executives must ensure they can respond quickly and confidently to the information demands of the regulatory authorities. They can no longer rely on manual compliance processes, duplicating tasks and efforts across departments, or wasted time searching in multiple repositories for appropriate records.

Address Your Key Requirements with Compliance 360

Compliance 360 helps financial services organizations address their most challenging regulatory compliance and risk management requirements while reducing cost, improving efficiencies and enhancing visibility and control.

• Compliance with Dodd-Frank and other Federal and State Regulations
• Demonstrating Compliance Program Effectiveness
• Regulatory Audits (SEC, FDIC, OTS, OCC, NCUA, FINRA)
• Internal Audits
• Protecting Against Fraud, Waste and Abuse / Whistleblower Allegations
• Cease & Desist and Corrective Action Plans
• Identity Theft Red Flags
• Vendor and Third Party Compliance Management
• Sarbanes Oxley Compliance

Key Capabilities of Compliance 360

• Policy and Procedure Management
• Legal and Regulatory Compliance Management
• Incident Management & Investigations
• Virtual Evidence Room
• Automated Self-Assessments
• Contract Management and Third Party Risk Management
• Project Management
• Surveys
• Internal Audit
• Risk Management/Internal Controls Testing
• Executive Dashboards and Comprehensive Reporting
• Sarbanes-Oxley Management
• Online Solution (with no hardware or software to install or maintain)

Learn More

To learn how leading financial services organizations are using Compliance 360 to minimize their compliance overhead and risks, and how you can be doing the same, contact us today.