Start with a foundation of Issue Intake & Case Management to accept and compile reports of risks and compliance issues across hotline, online, in-office, and even text messaging.
Integrate OIG sanction screening, international sanction lists, and VendorCheck services to make sure your partners don’t bring new risks to your doorstep. Then look for new frontiers of compliance excellence with Awareness Campaigns to build engagement with your employees, and Disclosures forms to pinpoint risk areas. Finally, look to ComplianceLine for employee Training and Specialty Solutions for Exit Interviews with employees, Inclusivity initiatives, and CrisisLine Response coverage.
Whether you’re most concerned about staying within SEC and FINRA guidelines or protecting the reputation that built trust with clients whose money you manage, you know that misbehavior from a single individual can damage your entire organization. A wise investment in a properly scoped and professionally managed compliance transparency program can make the difference between an internal review and a public hearing followed by an expensive settlement.
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