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Compliance Assessments and Surveys

The Compliance Assessments and Surveys module offers a streamlined, automated solution to create, distribute, collect, analyze, and report critical compliance data required by FINRA, the SEC, and other regulatory authorities.
 
Clients can create custom surveys and questionnaires for multiple purposes and audiences; push out surveys and questionnaires to end users through an integrated, cloud-based platform; and analyze and score results based on client-defined parameters.
 
The Compliance Assessments and Surveys module can be used for:
  • Annual Compliance Questionnaires
  • Anti-Money Laundering Surveys
Online Survey Completion
 
Users are provided with an easy-to-use, online survey form. The left-hand navigation shows which sections have been completed, and which are still open. Field validation warns when a question has not been completed. An optional Submit button can be added, locking the survey upon completion.
 
Survey Reports
 
A standard set of survey reports are available for supervisors and compliance personnel to view survey results across the organization, based on their user role and authorization.
 
Summary – A snapshot view of the current status of all scheduled surveys by type for a specified date range. Report filters are available to limit the dataset based on any number of user-defined custom fields. Summary data includes surveys Not Started, In Progress, Completed and Total.
 
Details – A detailed view of the current status of all surveys by type for a user-specified date range. Report filters are available to limit the dataset based on any number of defined custom fields.
 
Exception Summary – A comprehensive view of survey exceptions, survey scores and survey ratings by user. An easy way for compliance to see the Exceptions, Survey Scores and Survey Ratings for all completed surveys, along with exceptions for a user-specified date range across all survey types and user groups.
 
Question Details – A detailed view by question of all survey results that allows supervisors and compliance personnel to drill down into specific areas to identify and analyze potential risks or concerns.