Compliance management

With a single regulator covering almost the entire spectrum of personal and corporate client financial planning, and insurance requirements, there is a clear need for a system that offers a single view of clients, compliance information, commissions and fees.

Synaptic Client Care Desktop presents a technology based solution to make the management of compliance time efficient and transparent.

The system automatically selects new business book entries for file review and, whether based upon routine file testing, high risk business categories, policies sold in place of others or manual selection, presents an on screen checklist for operators to follow. The file review results are analysed by the system and presented as Key Performance Indicators (KPI's), clearly identifying an adviser's shortfalls and training needs.

The system takes the user from recruitment and the necessary checks that need to be undertaken, through to adviser monitoring and observations, to recording the training needs and objectives. The compliance control systems have been designed with considerable input from compliance experts.

Compliance Manager provides many registers, such as the advertising log, complaints log and breach register, against which diaries for remedial actions ensure that outstanding issues are never forgotten. Recruitment, training and competence, KPIs, complaint registers, regulatory reporting and detailed compliance check-list for all new business are just some of the areas covered through use of the compliance module.

Client Care Desktop provides a comprehensive compliance solution across your business, is simple in design, easy to use, and a must for all directly regulated firms.