Certifications and Attestations

One common denominator in financial services organizations’ compliance departments is periodic certifications. Your compliance team needs to collect, review, and maintain a variety of certifications from employees, contractors, subadvisors and others throughout the year. Whether those are Code of Ethics certifications, attestations that employees have received, read, and understood compliance manuals, or subadvisor certifications of compliance, the ComplySci Platform’s certification management software makes it easy to meet your compliance obligations.

Design and Use More Meaningful Questionnaires

ComplySci’s certifications module allows firms to create an unlimited number of attestations or questionnaires. Rather than taking a cookie-cutter approach, you can create meaningful certifications designed for your firm’s specific needs, customizing them and using question-based, data driven, or text-based questionnaires and attestations as needed by group or role. Automated Employee Code of Conduct Software Creates Efficiencies because the certification management process is automated, your compliance department can spend less time on administrative matters and more time on value-added work. You are in control of system workflows and parameters, but the ComplySci system does the rest, distributing and collecting certifications and sending periodic reminders to anyone who hasn’t returned their completed certifications yet. Compliance Officers can also set up automated recurring certifications (i.e., quarterly, annual, etc.).

More Robust Compliance Oversight

When your firm transitions to the ComplySci Platform, you can also be more confident that potential issues arising from employee or contractor certifications will be identified and addressed. With the ability to add conditional questions, you can probe for additional details before the certification is even sent to the compliance department. Once received, responses outside of expectations can be flagged for supervisor or compliance review and action, as warranted. Whether your firm is looking for a solution to help with employee conflicts of interest monitoring or simply needs the ability to generate and manage a variety of periodic questionnaires, the ComplySci Platform can help you meet your compliance obligations.

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