Compliance 360 enables a comprehensive approach to compliance and regulatory risk management through a single 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 includes the ability to manage all corporate policies, as well as centralized management of regulations, 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

Regulatory enforcement has increased significantly in the last few years, and this trend is expected to continue throughout 2009 and beyond. 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 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 the most challenging regulatory requirements while reducing cost, improving efficiencies and enhancing visibility and control.

• Compliance with Federal and State Regulations
• Regulatory Audits (FDIC, OTS, OCC, NCUA, SEC, FINRA)
• Internal Audits
• Fraud, Waste and Abuse / Whistleblower Allegations
• Cease & Desist and Corrective Action Plans
• Identity Theft Red Flags
• Vendor and 3rd-Party Compliance Management
• Sarbanes Oxley Compliance

Key Capabilities of Compliance 360

• Policy and Procedure Management
• Legal and Regulatory Content Management
• Incident Management & Investigations
• Virtual Evidence Room
• Automated Self-Assessments
• Contract Management
• Project Management
• Surveys
• Internal Audit
• Executive Dashboards and Comprehensive Reporting
• Risk Management/Internal Controls Testing
• 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 do the same, contact us today.

Meet us At the ABA Compliance Conference

Please be sure to stop by and visit our booth at the ABA Regulatory Compliance Conference, June 13-16 in San Diego.