“While we initially engaged with Compliance11 for their Trading and Affirmation functionality, we have also streamlined numerous manual tracking processes in their very flexible Case Management module. We have saved countless hours of data aggregation work from our global Compliance counterparts by migrating our users to a single platform.”
CCO - 4,000 Person Broker Dealer
“I use the Case Management feature to review, approve, and centralize my advertising, marketing and collateral materials. It’s working very effectively. The application is user-friendly, customer service/care is outstanding, and all for a reasonable price.”
CC0 - 50 Person Private Equity
Case Management
Maintaining logs and tracking information are essential parts of a Compliance program. Using Excel or Access to track this information is cumbersome and problematic. Compliance11’s Case Management module provides a centralized, multi-user workflow application, which includes calendars, notifications, an audit trail, and document archiving to track information so you can manage risk, not paper.
Templates
Compliance11 provides pre-designed templates for some of the most common items that must be tracked. Each template can be further customized to meet company specific needs. Also, new templates can be created with no IT assistance to quickly respond to your business requirements. Some of the pre-designed templates include:
- Continuing Education
- Order Error
- Trading Exceptions
- Registrations
- Restricted Persons
Compliance Calendar
A calendar view makes it easy to manage your compliance program. Recurring cases (e.g., regulatory filings) can be defined to make sure tasks are not forgotten. Once completed, cases can be annotated and files can be attached to provide evidence of completion. Multi-user access allows supervisors see case details. Cases are color coded so you can easily spot those with approaching due dates.
Tracking
Cases may be assigned to one or more people. Email notifications can be sent upon assignment. Reminder notices can be sent as due dates approach. Files can be attached. An audit trail of all changes is maintained.
Access Control
Access can be limited by user role. A Creator can create new cases and view their cases. A Servicer can only view cases assigned to them. A Super User has all authority for cases of a particular type.
Reporting
Advanced search capabilities allow keyword searches on cases. All reports can be customized and exported to Excel and PDF formats.
FAQ
What sorts of things can I use Case Management for?
You can manage any type of work item such as trade errors, customer complaints, regulatory inquiries, etc. You can create as many case types as you like.
Can I limit who can see which cases types?
Yes. You can also limit employees so they can only create cases or only service cases assigned to them.
Can I assign a case to multiple people?
Yes.
Can I attach files to a case?
Yes.
Is there a complete audit trail of all changes to a case?
Yes. At the bottom of the case, the system logs all changes and who made them.
Client Complaints
Compliance11’s Client Complaint case is a centralized platform to manage all aspects of the complaint process, which encompasses workflow and documentation for the initial and final responses, internal investigations, and regulatory reporting.
Marketing Review
Compliance11’s Marketing Review case centralizes and streamlines your marketing review program with a workflow-driven process that can be tailored to your requirements. The Marketing Review case enables employees to attach proposed communications, submit requests, and track the review process. Compliance is notified when requests are generated permitting them to review, revise, and post changes to the proposed communication. The system automatically tracks versioning control and archives for record retention purposes.
New Hire Checklists
Compliance11’s New Hire Checklist case enables Human Resources and the Registration Departments to collaborate and satisfy your firm’s pre-hire and on-boarding requirements in a single, centralized platform. The New Hire Checklist case can be used to evidence completion as well as serve as a repository for various new hire documentation, including but not limited to employment applications, I-9 employment eligibility verifications, pre-hire consent, drug testing, background checks, credit checks, fingerprint records, criminal history checks, policy affirmations, and U4 review.
Order Error
Compliance11’s Order Error case allows your Compliance program to centralize and significantly streamline the administration and surveillance process. The Order Error case provides a platform to document erroneous transactions, corrective actions, supporting explanations, and profit/loss results as well as generate reports for trend analysis.
Regulatory Inquiries
Compliance11’s Regulatory Inquiry case centralizes your regulatory inquiries providing you with a powerful tool to report and measure progress. In addition, inquiries can be viewed in a calendar view making it easy to manage response deadlines or extension dates. Copies of the original inquiry, responses, and supporting documentation can also be attached to the case.
