Policy Manager
In today’s rapidly changing financial services market, firms are inundated with a barrage of shifting rules and regulations that must be collated, interpreted and applied to internal policies and procedures. This manual, time consuming process, is not only burdensome to a firm but can also increase the risk of non-compliance, as updates often take weeks to approve, and roll-out as policies. Even once rolled-out the firm has limited insight into who has accessed, read and understood the policy.
Our Approach
Built for the compliance professional to remove the costs associated with manual policy management processes, Complinet Policy Manager is the only enterprise-wide solution that directly connects your internal policies with the external regulatory rulebooks. This direct connection not only reduces the time lag between rule changes and compliant behavior but also helps to reduce exposure to regulatory censure as rule changes are automatically emailed to compliance as they occur.
Once assigned the record keeping function provides oversight into who has viewed and read an updated policy, presenting a full evidence trail of policy acceptance and understanding. This highly auditable approach ensures that effective supervision is effortlessly evidenced to the regulator.
Complinet's unique suite means that where complementary training is required to reinforce a policy change both can be assigned as a single task using the Policy Manager record keeping functionality.
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