Skip Navigation Links
Products and Services
Partners Community

Financial Services – Solution Capabilities

With over 250,000 active users, the Compliance 360 on-demand solution is one of the most widely used and comprehensive Governance, Risk and Compliance (GRC) solutions. Key capabilities of Compliance 360 for financial services include:

Policy and Procedure Management

With Policy and Procedure Management, you can ensure full life-cycle management of policies and procedures including automatic email reminders, easy keyword searching and customized workflow for collaboration and approval activities. Other key features of the policy management system include the ability to monitor activities through version control, full audit trail capabilities, as well as surveys of your employees to ensure they have read and understand each policy. With Policy and Procedure Management, policies and procedures are organized with respect to the regulations that impact your business enabling you to provide real-time evidence of compliance. View Demonstration

Legal & Regulatory Compliance Management

With 1,000’s of Federal regulations, as well as those varying from state to state, it is very difficult to manage all the regulations that apply in each jurisdiction. Most organizations struggle to keep up with changing regulations and ensure that the appropriate personnel are notified of subsequent changes to standard operating procedures. Compliance 360 offers integrated access to the broadest available selection of legal and regulatory content available in the industry today. This is accomplished through our direct links that include leading legal and regulatory content databases.

At the heart of the Compliance 360 solution, the Regulatory & Content Repository is used to gather actionable laws and regulations into a central content repository and provide automated alerts for any changes and disseminate the appropriate information to targeted individuals throughout your organization. View Demonstration

Incident Management & Investigations

The Incident Management module helps you manage a wide variety of issues such as fraud hotline tips, potential fraud and abuse occurrences, audit findings and legal cases. Incident Management collects, stores, and allows your departmental personnel to collaborate on compliance-related incident information and track the progress of investigations. With the standard workflow capabilities available in all Compliance 360 applications, unique workflows can be set up for each type of incident. As an example, harassment incidents can be automatically routed to HR with task assignments and alerts, while suspected data breach incidents can be automatically routed to IT with a different set of task assignments and alerts. All incident information can be included in reports and graphically represented to demonstrate trends and correlations. Compliance managers will frequently use this area for audit committee meetings and board meeting presentations, as well as external audits and regulatory examinations. View Demonstration

Virtual Evidence Room®

The Virtual Evidence Room provides a collection point where all your compliance activities are easily tracked and linked back to the related laws, regulations or standards. The unique Virtual Evidence Room facilitates any type of audit, investigation or survey. Armed with this unique capability, you can easily demonstrate proof of compliance for any type of audit, lawsuit or investigation. The Virtual Evidence Room ensures that you are always audit-ready with one verifiable version of the truth.

Automated Self-Assessments

With 1,000’s of Federal regulations, as well as those varying from state to state, you need the ability to determine key risk areas across your various divisions. Routine Self-Assessments demonstrate proactive measures established to ensure compliance and thus reduce the likelihood of a failed audit or examination. With Compliance 360, you can automatically monitor compliance status using a complete suite of assessment tools that include the ability to distribute risk assessment surveys to targeted employees via e-mail.

  • Click Here to learn more about CFPB Compliance Self-Assessments
  • Click Here to learn more about CFPB Consumer Risk Self-Assessments

Contract Management and Third Party Risk Management

With complex legal requirements related to third-party service providers (TSPs), agent agreements and business associate agreements, keeping track of all your contractual obligations is essential. With Contract Management, you can create, manage and organize contracts for improved access, collaboration, revisions approvals, and version control. The system provides automatic e-mail alerts when contracts require review. Additionally, with Compliance Third Party Risk Management, financial services organizations have a complete platform for automating essential processes and proactively ensuring vendor compliance. Capabilities include automated risk assessment surveys, risk scoring and automated alerts, trend analysis and ongoing monitoring to ensure continual compliance. View Demonstration

Project Management

Effective project management within an organization most often requires centralized coordination of multiple resources across a variety of departments, disciplines and objectives. With Compliance 360, you can create and manage unlimited project types such as for examinations, investigations, remediation and audit response. The solution enables enterprise-wide project management using automated task management to promote collaboration and accountability, and provides extensive review and reporting capabilities.


Because of mandates concerning conflict of interest, employee satisfaction and general requirements for rooting out fraud and abuse, compliance officers carry the significant burden of collecting and managing vast amounts of data. The Survey module helps you create and manage customizable surveys for any size population – from a few hundred to thousands of employees, contractors and other appropriate contacts across your entire network of third-party service providers (TSPs). With advanced features such as conditional questions, automated workflow and statistical charting, you can address survey / data collection requirements and zero in on otherwise-hidden conflicts of interest. Additionally, the Survey module can be used to address requirements such as attestations, controls testing and audits. Survey distribution and summarization can be automated for an unlimited number of respondents.

Internal Audit

Compliance 360’s Internal Audit solution enables companies to centralize the management and oversight of internal audit functions. From defining risks and completing risk assessments, to developing audit plans, completing the audit fieldwork and establishing findings, Compliance 360 facilitates the entire internal audit process. A suite of built-in workpapers, charts and reports are available to ensure appropriate and timely communications to involved parties including the Audit Committee, Management and the Audit staff. View Demonstration

Enterprise Risk Management (ERM)

Compliance 360 automates processes associated with assessing and monitoring risk, managing risk response strategies, linking risk management data to compliance activities and providing a global view of all risk-related activities through an executive dashboard. Managers are able to quickly assess problem areas, proactively adjust processes to respond to issues and track progress through reports and automated alerts. The Risk Management solution assists with all the facets of risk management and includes key features such as visual representations of the risk framework, customizable scoring, workflow enabled processing of risk assessments and control tests, and enterprise level visibility and reporting. View Demonstration

Sarbanes-Oxley Management

All publicly traded healthcare organizations are required to comply with the Sarbanes-Oxley (SOX) Act in the U.S. and a growing number of privately held organizations are electing to comply with the “best practices” of Sarbanes-Oxley for a variety of reasons such as maintaining adequate bond ratings. Complex and cumbersome spreadsheets do not provide the capability to manage the data for governance, risk and compliance initiatives. Compliance 360’s SOX solution is an integrated part of the single, holistic compliance platform. With this solution, you can manage internal controls for financial reporting while integrating all aspects of SOX compliance such as controls monitoring and testing, documentation, risk evaluation and measurement and monitoring with the enterprise governance, risk and compliance strategy.

Executive Dashboards and Comprehensive Reporting

The Compliance 360 solution provides real-time graphical reports on a configurable home page with the capability to highlight compliance exceptions across the organization and examine specific compliance breaches and activities in more detail. Real-time reporting tools provide a global view of all compliance and risk management activities. Extensive drill-down capabilities and comprehensive search provide quick retrieval of needed information.

Online Solution

Many organizations have limited information technology (IT) resources. These resources are generally dedicated to the core business functions tied to revenue generation. As a result, it is often difficult for non-core business functions to compete successfully for these limited IT resources. Compliance 360 is designed from the ground up as a SaaS (Software as a Service) solution. Because of the SaaS design, Compliance 360 is provided as an online service, with no software or hardware to install. This allows you to be up and running quickly, often in less than 60 days with little or no overhead created for the IT department.

Learn More

To learn how leading financial services organizations are using Compliance 360 to minimize their compliance overhead and risks, and how you can be doing the same, contact us today.


grc community

Learn & NetworkSAI Global GRC

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.