Responsibility for the management of compliance within many, particularly smaller, firms falls to the business principals. Often the business principals already juggle responsibilities for business development and income generation. Therefore, despite its ever presence, the maintenance of compliance standards is important but not always urgent.

Client Care Desktop (CCD) presents a technology based solution to make the management of compliance both time efficient and transparent. What's more, the system can even alert compliance staff to what needs to be done.

The Compliance Manager is a plug-in, an optional add-on to the Client Care Desktop product. It's components are installed as standard and access is via a license code that you can obtain from us.

The system is simple in design, is easy to use, and we consider it a must for all directly regulated firms.

In short, the system has been designed to put the element of control into the hands of the business principals and compliance managers.

The Compliance Manager focuses all compliance and T&C information in one place and avoiding duplication of data input. What's more, the system shares all new business data with Client Care Desktop in real time so "high risk" cases can be immediately brought to the attention of compliance staff files.

The system takes the user from recruitment and the necessary checks that need to be undertaken, through monitoring and observations to recording the training needs that the system helps to identify. Through setting and monitoring training objectives to producing the reports that the regulator wants to see, the systems have been designed with considerable input from compliance experts.

The system automatically selects new business book entries for file review and, whether based upon routine file testing, high risk business categories, policies sold in place of others or manual selection, the system presents an on screen checklist for operators to follow.

The results of file review are analysed by the system and presented as Key Performance Indicators (KPI’s), clearly identifying an adviser’s shortfalls and training needs.

The system provides compliance registers, such as the advertising log, complaints log and breach register, against which diaries for remedial actions ensure that outstanding issues are never forgotten.

Finally the system presents a checklist, listing all actions that need attention.