Automate mundane and repetitive compliance tasks.
Eliminate Spreadsheet Risks
Pathfinder Evolution saves you time and money whilst reducing Compliance Risk!
Customised Apps to meet your compliance monitoring and BAU tasks.
Free Trial Available
Contact us on pathfinderevolution@complianceconsultant.org
or complete the form at the foot of the page!
Monitor
Organise and centralise your firms Compliance Monitoring Plan (CMP) by scheduling and logging your operational activities around the major GRC actives Governance, Risk Management and Compliance.
Remove the need for paper-based tasks or replace disparate spreadsheets, calendars and other office tools. Universal cloud based access with a full audit trail, demonstrate to the FCA, clear up to date compliance records.
Documents
A central location for all your company compliance documentation. Doc’s are versioned showing the latest iteration and all previous versions can be stored for audit.
All documents can be attestable by staff showing you who has agreed and confirmed they have read the document.
Registers
Centralise your companies registers in one place.
PA Dealing , Gifts, Entertainment, Financial Promotions, Compliance breaches, GDPR requests and many other types of register.
Custom work flows can be configured if multiple people need to sign off on an item. Do away with an inbox full of emails!
TasksCreate ad-hoc reminders to colleagues to complete compliance tasks.
Embed documents or other information into the task.
Affirmations
Period staff affirmations can be automated and reminders sent at key dates.
Staff can then digitally affirm that they ” have not seen any evidence of money laundering ” for example.
All affirmations are logged and available for reports / audit.
Trainer – Regulatory Training Requirements
Ongoing training is a core part of compliance, whether that be AML, SMCR or GDPR. Our trainer app can deploy, monitor and track your staff training.
You can upload your own courses or chose from our list of training materials.
Many courses can be logged against a personal CPD Certified Professional Development quota.
SM&CR
Senior Managers and Certification Regime, allows you to assign roles and responsibilities to key individuals within your organisation.
By tracking and monitoring all roles , staff departures or changes highlight any deficiencies in coverage.
Staff affirm they accept the responsibility assigned to them which is logged and available for audit / reporting.
Open Registers
Companies that need to track and monitor key information in their business can utilise open registers.
Client on boarding may require key information to be captured in a specific format or order.
A company risk register may change on a regular basis.
Campaigns
Collect data directly from your clients through a secure email link.
Possible uses include client on-boarding KYC and on going suitability assessments.
Data collected is directly injected into the Pathfinder database, alerts can be generated for “risky” answers submitted or answers that need further attention.
What Types of Firm Are Suited to Pathfinder??
Investment Managers
Incorporate your firms individual compliance monitoring program. Flexible to your firms needs.
Secure compliance management and monitoring software with universal access. Low maintenance, reliable and easy to administer.
Independent Financial Advisers
Annual Compliance Monitoring is taken care of with full task scheduling and reports provided. Emails at every action and approval stage.
Become more transparent with your risk management and lock in the version control audit trail and action logs.
Hedge Funds
A clear workflow replaces excel, word and outlook calendars. Using disparate software to manage compliance is not the best solution.
Save time and money by centralising the compliance function. Could negate the need for additional on site compliance staff.
Pension Funds
Universal cloud based access with a full audit trail, makes it easy to demonstrate to the FCA, clear up to date compliance records.
Maintain the firms registers, monitoring program tests, and all documentation surrounding governance risk & compliance in one place.
A “one stop shop” covering everything needed for compliance from basic scheduled tasks to training, attestations and CRM.
Brokers, Inter Dealer Brokers and even Banks
Task based issuance and monitoring of compliance functions. Compliance filings, both scheduled and ad hoc like PA dealings , gifts etc.
Upload and manage and documentation for compliance filings and company documents i.e.manuals. Full audit trail with version history and time locked attestations.
Insurance Companies
From MGAs to Insurance Intermediaries, Distributors and GI Brokers, can all manage their compliance and risk management with our system.
Ask about our Regulatory Reporting solution software as well!
Compliance Consultant
Contact Us Today to arrange a discussion around your needs.
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