The groundbreaking BasisCode regulatory compliance management system empowers compliance consulting firms to automate compliance so they can focus on more meaningful engagement with clients.
It enables consultants to:
- Optimize the way they deliver their services to clients, providing the ability to customize services on a client-by-client basis
- Simplify day-to-day functions and add transparency to client processes and services resulting in improved profitability
- Standardize service delivery and management of regulatory compliance programs
Compliance and risk management technology creates scalability and optimizes growth
The comprehensive set of integrated compliance and risk management tools provides consulting firms with a streamlined approach to onboarding new clients and the framework to rapidly design, deploy and continuously update the controls for each relationship.
This effortlessly streamlines day-to-day management of compliance programs while increasing transparency and accountability.
With the software’s flexibility and capacity to scale, it is an essential compliance solution for organizations of all sizes.
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Testing & Certifications
Risk Assessments
Gifts & Entertainment
Workflow Enabled Forms
Document Library
Code of Ethics & Personal Trading
Employee Portal & Mobile App
Key Benefits of a Compliance Management System
Competitive Advantage
- Accommodate the diverse demands and expectations of prospective clients by offering the most comprehensive compliance solution
- Surpass national corporate brands that dilute in-house offerings by attempting to design and deliver technology
- Provide verifiable value to each relationship with a transparent audit trail of the completed work items collaborated on via technology
Scalability
- Enhance service offerings by automating core administrative processes, freeing up time to promote more meaningful engagement
- Strengthen and showcase brand subject matter expertise by systematizing routine activities
- Measure and improve overall staff performance, productivity and transparency via robust analytics
Comprehensive Compliance Management
- Access a consolidated view across all clients and global action items, with the ability to drill down into client specific work items from a single, unified dashboard
- Model baseline templates for tests, certifications, questionnaires and risk assessments enabling efficient client onboarding and program maintenance
- Trust the industry’s leading, fully-integrated, compliance technology framework that prioritizes audit-readiness and reporting
Centralize & Standardize
- Adopt a firm-wide technology to organize client assets, templates and processes while offering agile responses to client needs
- Unify internal procedures to optimize service offerings and standardize deliverables to promote brand and provide a consistent work product
Showcase your Brand
- Increase brand awareness as a BasisCode Marketplace partner
- Showcase core competencies, value proposition and differentiators to potentially gain new partnerships with direct clients of BasisCode
Easily collaborate with clients securely, creating transparency and strengthening relationships
“The best compliance software systems will package up all of your testing material,” said Robling. “Once you assign the date parameters, it will produce all of the documentation pretty much at the touch of a button. With an examination situation it can save you a ton of time.”
Brian Robling, SEC Compliance Consulting
