Attestations

Compliance and Attestation Audit

The distribution and collection of employee attestations and certifications is a cumbersome process for compliance departments to manage. So, how does a firm manage employee attestations and certifications? Until now, most firms have relied on email; this method of employee attestations management can take weeks to complete. Not anymore. With the Compliance11 Supervisory Suite, your firm can automate the majority of the compliance and attestation audit process. The software sends out notifications to employees to affirm or reaffirm pertinent information and triggers a compliance and attestation audit based on an exception handling process that your firm defines. This allows your firm to quickly identify incomplete disclosures, delinquent employee attestations and certifications.

By simply using the Compliance11 Supervisory Suite, the distribution and collection of employee attestations and certifications is simplified, making it easier for your compliance department to focus on other important matters.