Compliapps
Compliance tools for regulated financial services firms
Why use Compliapps?
Compliance Task Automation
Automate mundane and repetitive parts of compliance. Digitise your monitoring plan.
Registers & Approvals
Log significant regulation-sensitive events and create registers like Conflicts of Interest, Breaches, Gifts, PA Dealings. Set up approval workflows.
Central, Auditable Evidence
Bring everything to do with regulatory compliance in one place. Create a secure, indelible record of staff actions. Export data in a variety of formats for MI.
Core modules
Tasks Manager
Create single or scheduled tasks for individuals or teams to complete compliance tasks. Monitor completion status of all personal or team tasks.
Documents
Place all compliance relevant documents in a central repository. Create attestations for staff. Set up scheduled document reviews.
Monitoring
Organise and centralise your firm’s Compliance Monitoring Plan. Remove the need for paper-based tasks and replace Excel, Word and emails.
Optional Add-ons
Risk Management
Create an interlinked matrix of Rules, Risks, Controls and system tasks as evidence of actions. Set up reminders to staff for task completion.
Rule Book
Upload any rule book and attach Risks and Controls. Full FCA Handbook and SECC rules available.
CRM
Store all client-related compliance data. Set up scheduled suitability reviews, KYC reviews and periodic clients tasks.
Compliapps Use Cases
Operational Risk Management Software
The Financial Conduct Authority (FCA) requires that firms take reasonable steps to put in place and maintain appropriate internal controls
Client Assurance & Onboarding Software
A smooth relationship between you, your outsourcing providers and client onboarding for effective oversight
ICARA Calculation & Modelling Software
Use our ICARA platform to create; Time series creation, P&L Forecasting, Stress testing, scenarios with comparison modes, Risk and reporting output
Over 250 companies use our platforms globally
Feedback from our clients
Hedge Fund
CO
Hedge Fund
Investment Manager
CO
Investment Manager
Retail Broker
CO
Retail Broker
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SaaS software with no commitment or contract. Free set up and installation.
