Platform

Welcome to State-of-the-Art Compliance Management

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Unprecedented Command and Control Over Your Compliance Programs

Simply put: One-Compliance does your compliance work. You can tell it exactly how you want your compliance program to run, or you can customize and deploy any of the platform’s built-in best practices. Powered by AI and machine learning, it constantly scans all corners of your business for risk—alerting your team when an issue needs your attention, and leaving you alone when it doesn’t. Best of all, One-Compliance becomes smarter the more you use it.

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Risk Insights & Scoring

Analyze across all your compliance-relevant data sources for an always-up-to-date understanding of compliance risks, and score people, departments, activities & policies for compliance risk

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Benchmarking

Tap into data compiled from SEC rules, no-action letters, disciplinary actions and One-Compliance AI learning algorithms to benchmark against peers with similar AUM, employees, asset classes and other attributes

360° Compliance

Continuously monitor and manage nearly every aspect of compliance from a single integrated system that autonomously identifies and responds to new challenges, helping to tackle unaddressed compliance issues

Real-Time Compliance &
Conflicts of Interest Engine

Algorithmically scan new actions for conflicts against your comprehensive database of historical data collected about people, relationships, departments, policies, processes, activities and more

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Tackle Every Compliance Use Case

With an ever expanding range of applications, One-Compliance serves needs across employee compliance, conflicts of interest, marketing review, and more.

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Integration with 3,000+ Brokers

Leveraging the Plaid platform, connect to virtually every broker in the U.S. as well as brokers across Asia and Europe.

Robust and Flexible Configuration

Define logic for automating request approvals & denials, and flagging requests for review by a compliance officer. Set custom holding periods, exclude review of trades that don’t require pre-clearance, create unlimited restricted lists and more.

Intelligent Monitoring

Automatically cross-link all personal trading activity to data retained within One-Compliance including the expert network, gifts and entertainment, outside business activities and more. Glean insights from built-in standardized reporting or create custom reports.

Reconciliation of Trades

Using One-Compliance advanced logic, automatically match pre-clearance requests to broker transactions for automated identification of trades that are in compliance or in violation. Receive recommended resolutions where discrepancies are identified.

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Automated Contribution Testing

Continuously scan a massive library of public databases to validate actual political contributions versus reported contributions, and receive an alert and action plan when a discrepancy is identified.

Preventative Recommendations

Automatically recommend to employees who make contributions to take training on the company’s political contribution policy.

Restricted Lists

Create and enforce restricted lists of states, political offices and politicians to prevent contributions that go against your policies.

Auto-Populate Annual Compliance Reports

Automatically populate your annual compliance report with findings from political contributions testing.

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Tag Sensitive Recipients

One-Compliance allows you to identify sensitive recipients of G&E that may require marketing personnel to be registered as lobbyists and provides you with specific guidance.

Manage Limits

Set annual limits for gifts & entertainment provided or received by your firm and its members. Calculate running totals against limits.

Proactive Alerting

Receive an alert and/or restrict gifting when annual limits are exceeded, a gift is passing between two parties with a conflict of interest or one party is on your restricted list.

Intelligent Linking

Automatically connect the dots between gift & entertainment actions with data about providers and receivers—for instance, if an employee provides a gift to an insider within a company the employee trades, the action may be flagged.

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Auto-Generated Certification Syllabus

Based on an employee’s role and tasks, automatically generate and assign certification requirements and deadlines. Tasks can include training, disclosures and more.

Recertification Management

Automatically receive notifications when time or event-based recertifications are required, and automatically track which employees have completed tasks and which are pending.

Task Assignment & Workflow

Automatically assign certification and recertification tasks to employees, set deadlines & reminder notices and manage workflow through to completion.

Recommendations

Based on employee violations or other triggers, offer additional compliance training and certifications as a remedial action.

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Manage Approval Workflows

Define the reviewer(s) for each content type as well as the checklists and workflow required for approval.

Content and Disclosure Recommendations

Use cutting edge natural language processing to review marketing content and receive suggested changes when language violates policies or best practices.

Submitter Tools

Utilize content creation checklists as well as an easy-to-use interface to submit content for review and perform revisions.

Reviewer Tools

Manage the request queue, complete interactive review checklists, annotate content and approve content or assign revisions to submitters.

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Area-Specific Guidance

For each subject area of compliance such as personal trading, gifts & entertainment, marketing, etc., author and publish summaries of the core tenets of your policy so employees always have a reference front-and-center.

Policy and Procedure Management

Establish and maintain a centralized, up-to-date library of compliance documents accessible to employees at any time. Attach policies and documents to specific certifications, ensuring employees always access the latest versions—eliminating uncertainty and ensuring ‘a single version of the truth.’

Active Logs

Automatically maintain real-time, always-up-to-date logs of all compliance-related information. This includes all violations, mitigations, certifications, employee trainings, conflicts of interest and more. Each datapoint in your logs becomes live, actionable intelligence utilized by our compliance & conflicts of interest engine.

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Smart Screening

Actively screen experts and approve or deny engagement with experts based on your policies.

Manage Expert Contacts

Funnel contact between employees and experts through One-Compliance to assure compliance with your policies.

Automated Testing and Reporting

Reconcile reporting provided to you by your expert network. Receive alerts when exceptions are found, and auto-populate testing into your annual compliance report.

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Personalized Curriculum

Based on your specific compliance policies, and individual employee history, One-Compliance defines, assigns and manages a personalized training curriculum for each employee who needs it.

Identity Training Needs

Intelligently determine training needs based on employee status and events. For instance, present a personalized curriculum to new employees based on their role. Or assign policy-specific training to an employee who has breached a policy more than once in the past 12 months.

Employee Risk Scoring

Maintain a risk score for each employee based on their role, compliance history, certifications and training. Automatically adjust risk score based on training completed.

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Cutting Edge Architecture

One-Compliance design is light years ahead of any other alternative

The only solution that comprehends your entire compliance program, connecting your relevant data sources and signals—for comprehensive monitoring, accurate, efficient management and ever-improving policies

One-Compliance is powered by AI and machine learning, constantly learning and improving based on worldwide compliance policies and best practices.You gain the ability to benchmark your compliance practices without compromising security or divulging trade secrets

With more than two dozen compliance applications either supported today or planned for delivery as part of the solution’s roadmap, One-Compliance is designed as a holistic compliance solution that runs your end-to-end compliance affairs

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Enterprise Grade

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Interoperability

Robust APIs and prebuilt data connectors bidirectionally integrate with your enterprise systems and SaaS applications

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Security & Reliability

Designed from the ground up with robust, industry-standard data, privacy, security, failover and fault tolerance practices

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Easy and Intuitive

Created by compliance officers for collaborative use by compliance and business teams — no specialized training or IT assistance needed

Revolutionize Your Compliance Management Today