Financial Services

Risk Management Solution
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  • 3-Day Data Migration
  • 50% Audit Reduction
  • 100% World Class Security
  • $0 IT Investment

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ComplianceManagerTM provides the ability to easily assess both internal and 3rd party vendor risk, to apply appropriate controls, and to manage the remediation process. ComplianceManagerTM automates the compliance and risk management process for BSA, GLBA, PCI, SOX, Basel II, related FFIEC guidelines, regulators such as OTS or OCC examination process, and all other internal audit and compliance needs. The GRC module provides executive management an enterprise-wide view of the overall risk environment.

Specifically, ComplianceManagerTM increases the effectiveness of financial firms compliance efforts while dramatically reducing compliance program and associated labor costs. Representative usage includes:

  • SOX
  • Internal Audit
  • Basel II – Op Risk
  • BSA
  • AML
  • GLBA
  • Regulator's Exam (e.g. OTS)
  • BITS – SIG & AUP v3.0
  • Broker-Dealer Compliance
  • Internal Policies & Procedures
  • FCPA
  • ISO 17799
  • SAS 70
  • Business Continuity Planning
  • Data Protection & Privacy Act