Compliance

Ensure your organization is complying with laws, regulations, rules, self-regulatory standards and codes of conduct.

Discharge regulatory compliance obligations through robust execution of compliance and audit controls across large distributed teams. Leverage data & insights from ongoing surveillance to quickly develop and adapt KPIs.

Front line staff now complete online forms instead of paper based. Their completion time has been cut in half with no need to store paper files.
— Chief Risk Officer

Compliance risk has become one of the most significant ongoing concerns for all financial institutions.   Globally, regulatory controls and fines have dramatically increased over the past few years.

The SeeEverything Compliance application ensures your leadership team has visibility across all control activities.

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SeeEverything Compliance App

Embed compliance frameworks - Digitization of your organisation’s compliance controls. Enable coordinated quality assurance testing approach and methodology that is fair and consistent across the bank. Build in scoring and categorization to ensure consistency across the organisation.

Control execution - Real-time execution of a Financial Institution’s compliance framework & quality assurance program. Automatically set frequency and audience of controls based on the cadence in the organization compliance frameworks.

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Real-time visibility - Reporting and visualization of all compliance results to allow risk mapping and indicators to deliver a consistent view across the bank. Track failures and breaches. Allow managers to spot higher risk areas and prioritize remediation plans accordingly.

Corrective actions - Trigger targeted coaching interventions automatically linking into the SeeEverything Capability App - both automatic and at the discretion of the testing team. Action status reporting to drive accountability. Systematically embed feedback loops and continuous learning (success and failure), by enabling risk and audit execution consistently across the banks large geographically distributed workforce.

Evidence reporting - Capture detailed evidence for regulators through digitized detailed control execution dashboards, remediation action completion and evidence document attachment. Enable a proactive approach to regulators by shaping the behaviors and mindsets of your people.

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Governance - Continuous monitoring of conduct & standards. Full visibility across the organization of execution completion and results. Capture & track actions & root cause remediation. Systematically drive governance and accountability.