MyComplianceOffice

The MyComplianceOffice platform lets compliance professionals demonstrate they are proactively managing the regulated activities of employees, third-party vendors and other agents of the firm. The SaaS- based solutions are available as a unified suite or à la carte.

The platform is arranged into four suites of products:

• Know Your Employee - Enables organizations to address the many areas of employee compliance; personal trade, gifts, entertainment and hospitality, outside business activities, political contributions and donations, authorizations, registrations and licensing. Modules can be implemented individually or in combination to ensure full compliance.
• Know Your Transactions - Automated market surveillance software solution to help firms monitor Anti-Money Laundering (AML) and security trading in accounts, portfolios and funds. Monitors all firms' trades to detect potential market abuse with interconnected modules with features that include a rules engine, with configurable rules for monitoring compliance with policies such as market manipulation, insider trading, suitability, conflicts of interest, fund mandate rules and AML rules.
• Know Your Third Party - Automation for due diligence of service providers, including ongoing follow-up to ensure the controls that were in place when the relationship began, remain in place over time, and change as necessary to manage new risks. Centralizes third party data and contracts, and includes alerts and escalation workflows for review of issues.
• Know Your Obligations - Integrated and compliance governance software that allows firms to understand regulatory obligations, manage policies, procedures and controls to address those obligations and provide proof of compliance. With KYO’s structured approach, firms gain a holistic and aggregate view of their compliance obligations that helps teams set regulatory priorities, identify gaps in policies and procedures and streamline operations.