Compliance Monitoring

Streamline your compliance monitoring programme with Leo, moving beyond spreadsheets and scattered documents. Tailored questionnaires align with your regulatory needs, automatically generating reports that flag breaches and enable efficient resolution tracking through the Remedial Action feature.

Overcoming Compliance Barriers

Automatically schedule your entire compliance monitoring programme

Solution

With Leo, you will complete a risk assessment that is configured to your firm’s regulatory profile. You will give each theme of monitoring a risk rating and a frequency for monitoring (monthly, quarterly, bi-annually or annually). Each theme is then scheduled automatically by Leo and put into your calendar.

Evidence compliance and maintain effective audit trails

Solution

Evaluate the effectiveness of your firm’s internal controls and create remedial actions, or recommendations, based on your assessments. Each remedial action is diarised, assigned to a member of staff for accountability and can be tracked to completion. Therefore, evidencing an effective audit trail and compliance with regulations.

Gain access to detailed and relevant management information

Solution

Utilise the MI generated for an overview of the compliance monitoring programme, updates on the programme’s progress, a robust analysis of all remedial actions and analytics which can all be easily extracted and presented to senior management.

Take advantage of an AI compliance expert who is trained on regulations

Solution

With Eva, our AI chatbot, you will gain access to a compliance expert who is trained on UK regulations, fund operations and the Leo platform.

What's Included

Key Features

Reports automatically flag breaches of FCA regulations and best practices.
Integrate your templates or use Leo’s.
Centralise all of your compliance documentation and give access on a permission basis.
Organise your compliance tasks and get reminders and alerts.

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