AUDIT FEATURES

Audit Tree

 

Audit database

Capture reviews and testing of documentation completed by the first line of defence by independent staff.

 

Audit planning tool

Enable Internal Audit to document work programs and audit steps to independently review compliance documentation.

 

Complaints database

Manage consumer complaints in a trackable format and produce reports for management and regulators.

 

Issues database

Resolve concerns being pursued by compliance, risk and internal audit in a central repository.

 

Exhibits database

Reference material such as contracts, worksheets, memos, checklists, or other documentation that supports established policies and procedures.

 

Reports tool

Immediately generate multiple reports for clients, management, board, auditors and regulators.

 

Data centralization

Centralise on a common platform the disparate parts of a decentralised organization.

See what Compliance Office™ will do for you.

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