Employee Compliance

Empower your staff to efficiently submit their compliance declarations and approval requests. Allowing you the peace of mind that all data is tracked and referenceable, whilst not burdening you with manual interventions to the workflow.

This solution covers personal account trade requests, gift approvals, attestations and more.

Overcoming Compliance Barriers

Send, chase and document staff attestations autonomously

Solution

Choose the periodicity of your attestations, to which group of staff they will be sent, and how frequently the staff should be reminded. Then let the software do the rest and watch as your signed attestations document on your platform.

Automated Personal Account Dealing

Solution

Choose which securities your staff are free to trade, which they are restricted from, and which need manual approval. Leo will track the entire process, chasing the staff for their contract note once the trade has been executed.

Centralised Compliance Manual and Policies

Solution

Store your compliance manual and policies so staff have 24/7 access to the latest versions. You can link your attestations to your compliance manual and policies for full coverage of the process.

Simply upload your current word documents and spreadsheets

Solution

Upload your spreadsheets of compliance data into our registers for enhanced audit trails and to benefit from approval request workflows. Upload your word documents so you can send staff your own attestations or use our ready-made templates.