BasisCode Compliance™ Essentials

Is your risk management approach antiquated and inefficient?

BasisCode Compliance™ Essentials is a powerful compliance management software that simplifies management of the risk lifecycle – from identification to resolution – strengthening compliance controls and decision-making to effectively safeguard firms.

How can compliance and risk management software optimize this process?

The comprehensive set of integrated compliance and risk management tools provides rapid design, deployment and continuous updating of controls. This effortlessly streamlines day-to-day management of compliance programs.

With the software’s flexibility and capacity to scale, it is an essential compliance solution for organizations of all sizes.

Key Features of an Integrated Audit-Ready System

Testing & Certifications

  • Design, schedule and disseminate routine and ad-hoc compliance tests, certifications, and attestations across your compliance program with ease

Risk Assessments

  • Maintain risk inventories, ratings and weights
  • Seamlessly link risks to their mitigating controls for greater transparency

RegNews

  • Never miss another regulatory alert, proposal, or new rule with a
    customizable news feed, embedded on the dashboard

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Testing & Certifications

Risk Assessments

Gifts & Entertainment

Workflow Enabled Forms

Document Library

Governance & Audit

Employee Portal & Mobile App

Gifts & Entertainment

  • Maintain firm-wide limits and track employee disclosures
  • Allow employees to pre-clear and check activities against thresholds
  • Automate exception management
  • Concur integration available

Workflow Enabled Forms

  • Automate virtually any paper-driven submission, review and approval process,
    • Political contributions
    • Outside business activities
    • Advertising review, and much more

Document Library

  • Authorize users to easily organize and share documents, filter by user, group or department and make documents  searchable for ease of access

Governance & Audit

  • Accommodate the diverse demands of different stakeholders
  • Streamline and automate a collection of separate but related tasks usually performed by different individuals and departments
    • Branch Audits,
    • New Hire Onboarding, and much more

Employee Portal & Mobile App

  • Ensure the timely exchange and tracking of information and requests among employees and other stakeholders
  • Secure access via SSO
  • Mobile app accessibility available
 

Optimize the day-to-day implementation of the compliance and risk management process by leveraging a powerful, fully integrated suite designed to ensure your audit-readiness


 

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“BasisCode has been tremendous in helping Balentine effectively manage our compliance program. Having calendar testing and results, attestaions and risk assessments centralized makes the job so much easier.

I strongly recommend BasisCode to Senior Managers who want to streamline the workload of Regulatory and Risk Management programs.”

Erica Farber, Balentine