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Compliance Program Manager
After Personal Account Dealing monitoring, the monitoring of the completion of all the various activities and procedures to avoid Conflicts of Interest is the next largest headache for a compliance team. The tracking of completion, the capture of relevant data, and the ability to report as required to the regulator are extremely challenging as the variety of activities is so broad. The MyComplianceOffice Compliance Program Manager enables firms to automate all the different compliance calendar activities of the firm in one place. The case management functionality records all issues and their resolution. Document Management enables full tracking and versioning of all compliance documents. A dashboard view of the entire compliance program provides quick access to critical data. A full audit is maintained of all activities. Check out our short video (Running Time: 1.16 mins) →→→
 
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Dashboards
The Compliance Management Dashboards in MyComplianceOffice provide compliance personnel with a complete overview of the compliance management activities within the firm in real time. The status of tasks, alerts and cases are displayed graphically in the form of bar and pie charts that quickly highlight the compliance issues that need attention. Compliance personnel can easily drill down into the related details for each activity enables them to immediately identify and address more urgent issues. Learn More
 
Task Management and Workflow
The MyComplianceOffice Task Management functionality enables compliance personnel to create tasks for planned compliance activities either ad-hoc or at recurring intervals (e.g. daily, weekly, monthly, quarterly, annually). Tasks can have documents, questionnaires, links and attestations associated with them. Each task can have multiple frequencies of notifications and can be configured as needed. This functionality enables compliance departments to automate procedures within their compliance program and demonstrate a documented history of completed compliance activities. Using this functionality, the compliance calendar of the firm can be easily automated.
 
Compliance Program Wizard
The Compliance Program Wizard enables firms to quickly build a compliance calendar using a library of compliance tasks which has been built using standard practices from the industry. Compliance personnel can research which compliance activities are appropriate for their compliance program. They can easily automate that activity and assign them to the appropriate personnel for completion. This functionality is especially useful for firms looking to enhance their compliance calendar or to build their initial compliance calendar. Compliance Program Wizard
 
Attestations
MyComplianceOffice attestation functionality enables the compliance team to quickly distribute attestation requests to employees, easily track their completion and produce reports promptly. Attestations can be sent to individual employees or groups of employees. Attestations can be completed on anything. Examples include, code of ethics, policies and procedures, marketing documents, meeting notes, or any document or statement that requires an attestation. As part of the attestation, the compliance team has the capability to request the completion of questionnaires and/or attestation statements. Each attestation can have multiple frequencies of notifications and can be configured as needed. Attestations
 
Disclosures and Conflicts of Interests
The MyComplianceOffice forms functionality enables the compliance team to easily and quickly build any type of disclosure form. Examples of types of disclosure forms include outside business interests, conflicts of interests, gifts and entertainment, political donations, private securities transactions, anti-bribery, whistle-blowing, other ethics or potential conflict of interest disclosures and other changes such as address changes. Workflows can be configured to route individual disclosure forms to one or more reviewers once submitted by employees. Each form can be routed to a different set of reviewers. Forms can also be routed to different reviewers depending on the group the employee is a member of. Reviewers can communicate with the person who submitted the form and can approve or reject requests. Each disclosure can have multiple frequencies of notifications and can be configured as needed. A full audit of all comments and actions taken with each disclosure is maintained. Disclosures
 
Gifts and Entertainment
Monitoring employee gifts and entertainment is a key element of most compliance programs. MyComplianceOffice enables firms to automate the review and surveillance of all requests and to automate key elements of the firm's gift and entertainment policies and procedures. The configurable workflow and flexible business rules engine allows for significant flexibility.

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Gifts and Entertainment
Political Contributions
Monitoring all employee political contributions is a key element part of many compliance programs. MyComplianceOffice enables firms to automate the review and surveillance of all political contribution requests and to automate key elements of the firm's policies and procedures. The he configurable workflow and flexible business rules engine.

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Political Contributions
 
Affirmations
Affirmations are an important element of any compliance program. MyComplianceOffice affirmation functionality enables employees to affirm previously declared activities such as personal trading accounts, trades, holdings, gifts, and political contributions. Affirmation requests can be sent to individual employees or groups of employees. As part of the affirmation the compliance team can request the completion of questionnaires and or affirmation statements. Affirmations can have multiple frequencies of notifications and can be configured as needed. Affirmations
 
Case Management
The MyComplianceOffice Case Management solution enables compliance personnel to maintain and manage unplanned or unexpected occurrences within the firm. Cases may be recorded and monitored through to resolution. Examples include trade errors, personal trading violations, complaints, or any irregular item that happens on an ad hoc basis. Case Management
Document Management
MyComplianceOffice offers rich document management functionality which provides a centralized repository for all documentation, including a specific section for policies & procedures documents. Firm documents are stored in an easy to navigate folder structure. MyComplianceOffice also has automated versioning of documents when the document changes and maintenance of previous document versions. A full history of all attestations and reviews of each document can also be viewed. Document Management
 
 
       
 
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