Compliance Monitoring Software Solution

Keep Compliant with our Compliance Monitoring Action Tracker

Only £100 per month

The Symbiant Compliance Monitoring module facilitates compliance management and the monitoring of actions that have arisen from testing, meetings, audits or compliance monitoring. The need to monitor compliance performance is often a regulatory requirement; regulators like the UK’s Financial Conduct Authority require any firms applying for approval to operate to detail their compliance monitoring plans.

This module allows you to log and give ownership of actions so you can monitor to completion.

Action tracking for Management Actions

Action tracking for Compliance Actions

Action tracking for audit Actions

Action tracking for Management Actions

Action tracking for Meeting Actions

Customer Quotes

What our customers say

Symbiant has revolutionised the way we manage and oversee risk. The system offers seemingly endless customisation, real time risk visibility, takes away the need to review various spreadsheets and sends helpful reminders whenever action is required. The Symbiant Team have been super helpful in supporting the embed of the system and tailored it to our specific requirements. Big thanks to the Team and highly recommend if you are looking for a powerful, flexible, and cost-effective audit, risk and compliance management system!
Evolution Money
The Risk & Compliance monitoring action tracker has been designed in a way that allows us to capture each review that has been conducted and then separate each finding within that review. All action owners can be tagged so that they can access their individual actions and provide updates. This has been such a help to our business. Symbiant were always on hand to make small tweaks whenever we required.
Marsh Finance on Compliance monitoring action tracker

The Symbiant Compliance Monitoring module facilitates compliance management and the monitoring of actions that relate to regulatory requirements or . It’s ideal for firms who are authorised by the Financial Conduct Authority or any businesses that need to comply with government regulations.

You can configure your own charts and layouts to suit your own requirements. The tabs and charts allow you to sort and find information quickly, which makes managing the actions fit your own methodology and workflows

The module overview can be customised to your own requirements

Tracker includes a one click, overdue action filter, so you can see issues that need immediate attention.

You can also use any of the charts to apply filters, to view a subset, or locating specific data.

The form layout can be modified to suit your own requirements and terminology, so you can capture any details you require. You can also attach any related documents or files. You can assign management ownership of findings and create your own approval processes or escalation procedures.

If the findings are issues that need resolving, you can create the management recommendations complete with sets of remedial actions, that can be assigned to people with due dates.

Automated emails notify users and managers of assignments and updates and will remind people if things are becoming overdue.

Action owners can keep the issue updated with their progress, so you can monitor it to completion. They can also attach supporting documentation or evidence , if required.

Automated email notices can be sent to remind users of their outstanding actions, or any actions that have become or are becoming overdue. You can also send notices to managers, so everyone is aware of issues needing urgent attention. This automation ensures, your actions, get actioned, so you can stay, compliant. Firms

that are authorised by the Financial Conduct Authority (FCA). It can be configured for use by any company to monitor and fulfil management actions.

Once you have identified your regulatory obligations you can log your findings, have an approval process.

Attach actions to the compliance managers recommendations. Automated emails notify assignees and managers of new actions and updates, so everyone is kept up-to-date with progress and anything becoming overdue.

The action owners keep you updated with their progress so you can monitor to completion.

The symbiant monitoring action tracker facilitates compliance management

 

The Symbiant Compliance Monitoring module facilitates compliance management and the monitoring of actions that have arrisen from testing, audits or to fulfil recommendations. The need to monitor compliance performance is often a regulatory requirement; regulators like the UK’s Financial Conduct Authority require any firms applying for approval to operate to detail their compliance monitoring plans.

Thematic reviews are in-depth analyses of limited topics—or themes—which can provide invaluable insights for market conduct supervisors (MCSs). Various countries sometimes refer to thematic reviews as horizontal analyses, thematic analyses, industry reviews, cross-sector reviews, cross-firm reviews, and market studies
FCA, TCF, AML & UK GDPR
Horizontal analyses: Compliance monitoring plan: Information Security

 

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