Compliance Operations Management System (COMS)

Our Compliance Operations Management System (COMS) is a secure, web-based solution to automate and manage all your firms compliance activities. Our system brings data from different systems together allowing CCO's to analyze the different issues across their programs.

How It Works

MyComplianceOffice combines the power and flexibility of Approvals & Affirmations, Questionnaires and Attestations, Task Management & Workflow, Personal Trading, Document Management, and Case Management into a single, integrated, “easy to use” solution. A Dashboard view of the entire compliance program provides quick access to critical data. The combination of these features enables a firm to:

  • Automate the many various activities of the compliance program that are currently manual.
  • Capture all information (documents, comments, etc.) associated with the activities.
  • Create a single system of record for all compliance information for audit response.
  • Retrieve data easily for testing or audit purposes.

Long Term Compliance Platform

The flexibility of the tools in our solution allows you to modify policies and procedures as regulations change and as your business model evolves into new markets. Storing all data and documents in one solution ensures your firm is ready for audits, irrespective of changing personnel.

Benefits

  • Automation provides significant savings on costs of a firms compliance program.
  • Enables easier and more effective oversight and monitoring by compliance personnel.
  • Reduces risk of compliance issues with automation and easier oversight.
  • Ensures compliance with the policies and procedures that are appropriate for the firm.
  • Demonstrates the culture of compliance within the firm to prospective investors.
  • Adapts to changing SEC, FINRA, FSA and other compliance requirements and to the firm’s changing business model.
  • Provides peace of mind that firm has long-term, flexible system for compliance program.
  • The "Software as a Service" (SaaS) solution from MyComplianceOffice has:
    • No system costs.
    • Support is included.
    • Upgrades are provided without additional cost.

View details on our Product Features page > >

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