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