Compliance Management Software

Ensure compliance with regulations, policies, and procedures in one centralized compliance management software solution. Manage regulatory change, automate your policy management process, and operate in line with globally recognized compliance frameworks.

3D pie chart showing percentage distribution of compliance management software usage

Regulatory compliance

Build a library of compliance obligations, receive notifications of regulatory change, and implement a best-practice regulatory change management process.

Policy management

Create an online policy library and manage policy approvals, escalation, and circulation and collect employee attestations.

Compliance workflows

Create compliance workflows for key compliance processes including anti-bribery & corruption, conflicts of interest, sanctions checks, gifts & hospitality and much more.

Our compliance management software solution can help you:

Identify

Identify and understand your compliance obligations and build a digital ‘obligations register’ to monitor compliance.

Prioritize

Prioritize your work by considering and understanding the risks of non-compliance.

Reduce Risk

Reduce organizational risk exposure to breaches of key obligations, through proactive oversight and effective management of compliance risk.

View

View central obligations registers for your internal policies, legislation, regulations, compliance frameworks, authority documents, and risk management protocols.

Evolve

Progress from a reactive compliance management process to a proactive approach, aligning with best compliance practices.

Assign

Assign individual responsibility and overall accountability for compliance and regulatory obligations.

Track

Track progress against compliance obligations and corrective actions and implement a compliance review process.

Notify

Receive notifications when there are regulatory changes that impact your business.

Ensure Adherence to Globally Recognized Compliance Frameworks

Compliance management software capabilities

Table of compliance management software obligations, detailing codes, titles, modules, officers, statuses, and risk assessments

Monitor compliance with obligations

Establish a digital obligations library of applicable regulations, legislation, policies, and procedures and monitor compliance. 

Use our compliance management software tool to implement regular compliance checks and step-by-step processes & procedures to maintain compliance and identify compliance violations. Our compliance management system supports the effective assessment and documentation of non-compliance, progress tracking, and analysis of results. 

Breakdown operational silos by linking compliance data with relevant risks, incidents, and breaches to ensure overall business compliance.

Operate in line with compliance frameworks

Use our best-practice templates, forms, and workflows to ensure compliance with globally recognized compliance frameworks and industry regulations including ISO standards, NIST, GDPR, PCI, HIPAA, and AICPA SOC.

Table of GDPR incidents in compliance management software, showing codes, titles, dates, event types, consequences, severity, and status.
Compliance management software screen showing document upload progress for Noise Compliance Test Plan under Condition 14 Noise.

Collect compliance attestations

Our compliance tool enables firms to collect sufficient documentation and evidence of compliance attestations to policies and processes from employees – including evidence-based assessments and substantiating documentation.

Receive live notifications of upcoming regulatory changes

Our compliance system can integrate with your preferred regulatory content provider to provide live regulatory updates straight into your compliance program via partner plug-ins to ensure adequate compliance tracking. 

Complex legislation is broken down into easily digestible chunks and automated workflows alert the owners of any policies, procedures and business processes that will need to be amended as a result of the change. This cuts back on costly legal fees and speeds up the change management process.

Compliance management software screen displaying obligations, modules, officers, statuses, and risk assessments
Compliance management software screen displaying obligation alerts, subjects, dates, statuses, owners, and linked compliance details.

Regulatory change management

Receive notifications of regulatory changes that affect your organization and implement a best-practice regulatory change management process to automate compliance and meet audit requirements. 

Link regulations to the relevant business processes, policies, and procedure documents – enabling stakeholders to easily understand regulatory requirements and what needs to change. 

The system fully documents the change processes using automated workflows – to create an audit trail of what changed and when – making it easy to provide proof of the change to regulators.

Digitize compliance reporting with visual dashboards & reports

The built-in dashboards & reports in our compliance risk management tool enable compliance professionals to report on compliance at the touch of a button. 

Build personalized dashboards for employees of all levels to view their upcoming compliance tasks and understand key metrics. 

Run a variety of reports to build a picture of your compliance profile, identify compliance risk, and support intelligent decision making.

Compliance management software displaying various charts: obligations by review status, overdue status, and compliance status.
Compliance management software screen displaying policies and procedures with codes, titles, types, responsible officers, and priorities.

Policy management

Create a policy management library capturing critical details regarding each policy. 

Implement workflows to automate policy creation, distribution, approvals, signoffs, and changes. 

View reports on policy compliance, policy status, and employee attestations to demonstrate compliance with regulations, standards, and internal guidelines.

Gift & gratuities

Prevent bribery & corruption with a best-practice gifts & hospitality procedure. 

Staff complete online forms to log the giving & receiving of gifts, supporting risk assessment and compliance training efforts. Rules can be set for each role to define the appropriate gift level. 

Workflows are set up to facilitate the escalation and approval process. 

Controls can be set to flag potential bribery and staff can easily amend thresholds to align with any policy changes.

Software screen displaying gifts and hospitality records with form numbers, titles, responsible officers, and statuses.
Monitoring conflict of interest in compliance reporting software

Conflicts of interest & disclosures

Effectively monitor conflicts of interest and disclosures. 

Create profiles for staff containing relevant personal and professional information including financial interests, relationships, and affiliations. 

This database can be used to detect potential conflicts of interest, aiding in risk management and compliance training. 

Staff can log potential conflicts via online forms. 

Automated workflows escalate the incident until it is resolved – with all actions captured in the platform. 

Teams can run a variety of reports on policy adherence, types of conflicts, risk trends, and the effectiveness of mitigation strategies.

Whistleblowing & anonymous incident reporting

Set up a discreet portal with online forms making it easy for employees to disclose problems or whistle blow. 

Staff simply complete an online form to report a potential area of misconduct. Automated workflows escalate the incident to the relevant stakeholder. 

All evidence is documented within the system and workflows enable teams to monitor each case until it is closed. The software ensures the anonymity of those reporting and external portals can even be set up for vendors & clients.

Management software screen displaying whistleblower incidents with codes, titles, responsible officers, and statuses
Compliance solution software screen showing sanctions checklist with COI codes, names, categories, reported dates, line managers, and statuses.

Sanctions checks

Keep an active register of sanctioned companies, countries, and jurisdictions. This enables firms to carry out comprehensive sanction checks on potential suppliers – employees can enter details regarding name, trading alias, registration number, country, trading partners, supply chain data, and origin of goods. 

The system will automatically check the data against the live sanctions list and flag potential problems. Automated workflows escalate potential sanctions breaches to the relevant stakeholder so they can make a formal decision regarding whether the deal or contract can proceed.

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