Financial Services

Meet the increasing demands of industry regulation. Adopting best practice protects your business for streamlined risk identification, compliance reporting and controls monitoring.

Auditcomply Recognized in the Regtech Top 21 Framework

AuditComply, a leading Enterprise Risk Management platform transforming the way organizations manage and report on Risk, Audit & Regulatory Compliance programs are pleased to announce it has been included on MEDICI’s Top-21 RegTech framework for 2020. This highly coveted framework identifies companies with the most innovative and cutting edge technologies in the audit, risk and regulatory compliance space.

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Change the Way You Address Risk & Regulatory Challenges

Adopt Best-Practice SOX

Streamline your internal controls process & reinforce policies & risk awareness

Manage Change

Stay on top of requirements with our template builder & intuitive workflow management

Identify & Assess Risk

Actionable insights that come with real-time, risk analytics on a per asset basis

Automate & Centralize

Manage the end-to-end audit process with automated workflows, alerts & a centralized repository

A Disruptive Way to Simplify Compliance

Benefit from RegTech during & beyond the crisis

The financial services industry is entering the age of digital transformation due to recent shifts in technology, regulation and global events. RegTech platforms like AuditComply is brining the industry greater efficiency along with reduced risk and regulatory costs. Providing Chief Risk Officers (CRO) and Chief Compliance Officers (CCO) the right tools to operate effectively and efficiently.

By implementing a platform that provides a single, integrated view and compliance across the organization you can ensure compliance with regulations and gain real-time visibility into risk across multiple business units all within your cost and time constraints.

Account Specialist

Your dedicated account specialist is devoted to building a strong, lasting relationship with your team.

Add logic to your assessments

Add logic to your assessments to capture data in accordance to HACCP Guidelines

Adopt Best-Practice SOX

Streamline your internal controls process & reinforce policies & risk awareness

Assess Risks With Greater speed & Ease

Empower auditors to perform timely risk assessments and collaborate in an integrated fashion

Assessment Optimization

This is when we begin to build and upload your current assessments and internal documentations onto the platform

Asset Information Hub

Custom profiles to store & track asset information - work orders, certification status, warranties, suppliers & more

Find Out How Leaders in Financial Services Benefit with AuditComply


Automate Compliance Monitoring

Build effective risk-based audit plans & schedules

  • Automatically reassess each supplier according to a set timetable
  • Schedule assessments based on supply chain vulnerabilities
  • Collaborate on plans & resource allocation Full version control with tamper-proof audit trails
  • View expiring certificates and update details all from one dashboard
  • Automatic managing of certificates including auto-issuing requests for new certificates
  • Easily request certificates via a requirement option in the template builder.

Build Assessment Templates

Consistent work programs with template-based audits

  • Create a tailored flow & subset questions
  • Include multiple data capture elements (eg. Calculations, Thresholds)
  • Include instructions & reference photos for your team
  • Configure reporting, notifications & alert types
  • Full version control with tamper-proof audit trails

Track Issues & Action Plans

Track, Report & Comply

  • Get real-time visibility across all your audits, and drill down into status, findings & remediation plans
  • Ensure all tasks & issues are actioned on time with automated alerts
  • Create one-click reports and categorize issues to keep stakeholders notified
  • Streamline evidence collection with offline mobile data capture
  • Track remediation with assignment, default due dates & scheduled follow-ups
  • Full Non-Conformance, CAPA & Root Cause Analysis

Encourage Enterprise-Wide Collaboration

Configure internal business processes

  • Automate the review, approval & reminder process
  • Comment, propose, and accept changes from the platform
  • Communicate updates, grades, issues, upcoming due dates & more
  • Set Email or SMS alerts for scheduling, reminders & tasks
  • Configure the frequency of all communications on a per template basis
  • Customize content & brand all communications

AuditComply Intelligence

Automatic Report Generation with Built-in Analytics

  • Generate branded reports with just one click
  • Get high-level insights on the status and effectiveness of your audit program
  • Design & build executive reports for senior stakeholders
  • Drill down, filter & perform trend analysis with real-time visualizations
  • Utilize customizable Scoring & Grading schemes for better information management