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Financial Services Industry Compliance & Risk Management

SAI Global partners with the financial services industry on highly-configurable compliance and risk management solutions.

Regulatory compliance thresholds are on the rise for financial services organizations. Dodd-Frank, the Third EU Directive, the US Patriot Act, KYC and FSA all present regulatory compliance challenges for financial services organizations. 

This increasing oversight requires financial services organizations to implement effective and comprehensive compliance and risk programs. These programs need to be cost effective and ideally create an “inspection and audit ready” state for the organization. Executives must ensure they can respond quickly and confidently to the information demands of the regulatory authorities.

Learning Solutions for Financial Services

  • More than 150 Best Practices Code of Conduct segments you can configure to communicate an Employee Code of Conduct and/or a Supplier Code of Conduct

  • The industry's most complete and dynamic library of courses that communicate regulations and mandates such as Sarbanes-Oxley, FCPA, Global Anti-Bribery, conflicts of interest, gifts & hospitality, and many others

  • Training on national and international standards such as ISO9001 and ISO27002

  • Our GRC Dashboarding, designed for reporting and analysis and a welcome change from spreadsheet overload
Contact us to discuss your specific requirements or to arrange an online demonstration of any of our products or solutions.

Compliance 360® GRC Software Solutions for Financial Services

Compliance 360 enables a comprehensive approach to regulatory compliance, internal audit and risk management through a central enterprise-wide platform. With Compliance 360, leading financial services organizations manage and mitigate risks, improve efficiencies and protect their brands.

The Compliance 360 solution for financial services provides centralized management of regulations, as well as the ability to manage corporate policies, incident management, vendor management, assessments, remediation projects, internal audits, and risk management.

Address Your Key Requirements with Compliance 360

Compliance 360 is used by financial services organizations to help address their most challenging regulatory compliance and risk management requirements while reducing cost, improving efficiencies and enhancing visibility and control:

  • Compliance with Dodd-Frank and other Federal and State Regulations
  • CFPB Exams: Compliance Assessments
  • CFPB Exams: Consumer Risk Assessments
  • Demonstrating Compliance Program Effectiveness
  • Regulatory Audits (SEC, FDIC, OTS, OCC, NCUA, FINRA)
  • Internal Audits
  • Protecting Against Fraud, Waste and Abuse / Whistleblower Allegations
  • Cease & Desist and Corrective Action Plans
  • Identity Theft Red Flags
  • Vendor and Third Party Compliance Management
  • Sarbanes Oxley Compliance

Key Capabilities of Compliance 360

  • Policy and Procedure Management
  • Legal and Regulatory Compliance Management
  • Incident Management to store and collaborate on all incidents, track progress of investigations, and compile proof of remediation - and link to your hotline
  • Investigations
  • Virtual Evidence Room® - dynamically links all policies, surveys, assessments, attestations, incidents, audits, contracts, projects and tasks directly to laws, regulations, standards and guidelines
  • Automated Self-Assessments
  • Contract Management and Third Party Risk Management
  • Project Management
  • Surveys
  • Internal Audit
  • Risk Management/Internal Controls Testing
  • Executive Dashboards and Comprehensive Reporting
  • Sarbanes-Oxley Management
  • Online Solution (with no hardware or software to install or maintain)
Contact us to discuss your specific requirements or to arrange an online demonstration of any of our products or solutions.
Use the dropdown menus below to explore specific solutions for other industries.


grc community

Learn & NetworkSAI Global GRC Community

News, insights, opinions, events, and resources of value to compliance, legal, risk, ethics and audit professionals in financial services.

compliance management for financial services

On-Demand demonstration of Compliance 360Compliance 360 Regulatory Compliance Management for Financial Services

Learn how Compliance 360 is used to manage regulatory compliance requirements in financial services.

regulatory change management in financial services

On-Demand demonstration of Compliance 360Compliance 360 Regulatory Change Management for Financial Services

Learn how Compliance 360 is used to monitor and manage regulatory changes in financial services.

managing vendor compliance and third party risk

On-Demand demonstration of Compliance 360 Compliance 360 Vendor Compliance and Third Party Risk

Learn how Compliance 360 is used to ensure vendor compliance and third party risk.

an integrated risk management solution

Gain a single view of risks, obligations & controlsRisk Management Solution

Create the compliance reports your Board demands with an integrated software solution.

enhancing the value of your compliance metrics

Getting the Most From Your Ethics Hotline DataIntegrate
hotline and case management

Learn how a hotline provides more than the basics - it gives insight into the leading indicators for your entire compliance and ethics programme.