Audit

 

Compliance Star allows you to select from a package of modules which can be tailored to your needs and requirements

 

 

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Background

Audits are undertaken to assess and review the firms Units/Agents and internal processes and operations in respect of FCA compliance and is conducted and reported on a risk based approach.

Compliance Star

  • Online reporting of audits and actions through to completion.
  • View of all audits completed that can be viewed via central reporting or by individual Units/Agents.
  • Actions for both firms and units/agencies following audits can be tracked through to completion.
  • Risk categories can be assigned to individual sections allowing oversight of the Units/Agents risk and firms approach.
  • Audit frequency can be tailored according to the risk and any customer detriment.
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Benefits

  • Efficiency driven as many fields are pre-populated and can easily be edited to be tailored to the firms requirements.
  • Clear tasks, notes and documentation against each Units/Agents record for internal use which can be updated/edited and viewed in real time.
  • Units/Agents can easily access actions and provide additional information and documentation.
  • A constant information flow for evidence and oversight
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