Financial Services

We have acquired a wide range of experience over the years working with a variety of different financial service companies.  This has given us a good understanding of how to deliver a GRC product that works for you, we know how financial services companies work and how to meet your GRC requirements.

Our clients include organisations from a wide range of businesses – insurance and reinsurance, wealth and investment management, pensions administration and employee benefits, trading platforms and spread betting, online payments and many more.

These companies range from small wealth managers, with a handful of users, through to global corporations across many international offices and hundreds of users.  Our solution is specifically designed to be both flexible and scalable to adapt to the specific needs of these firms.

To support our financial services clients, we have a range of tools and features specifically to address their needs:

  • Risk Frameworks Sample risks and controls enabling firms to validate their existing registers and, if appropriate, enhance them to ensure completeness and coverage;
  • GDPR Registers Separate registers specifically designed to support the various requirements for dealing with clients’ requests for information;
  • Assessments & Questionnaires A range of pre-defined templates of questions to enable firms address their need for checklists and attestations to meet some of the regulatory and legal demands, e.g. SM&CR, CASS, SYSC, Money Laundering, Personal Account Dealing and more;
  • Breaches Register Specifically defined for maintaining records of, amongst others, incidents of client complaints, conflicts of interest, policy and compliance breaches, etc.; and
  • Documentation Repository A library of supporting documents and policies, as well as links to appropriate regulatory websites.