Our software delivers effective compliance oversight and management for UK-based, directly authorised financial advice firms, networks and consolidators.
Do you recognise these common challenges?
How do you ensure consistency when overseeing multiple firms or advisers in an increasingly regulated environment?- Do your departments struggle to communicate efficiently, relying on manual tasks such as spreadsheets, email and phone calls?
- How do you grow your business without increasing manual processes, inefficiencies and spiralling costs?
- Can you evidence the decisions and actions you take to ensure compliance?
- Do you have immediate access to key management information and a full suite of board reports?
Our cutting-edge software brings you...
A centralised system defining and powering workflow, processes and reporting- Automatic notifications and prompts, ensuring clear communication with no manual steps
- The ability to import data from other systems to provide a central source of Management Information and Oversight
- Tried and tested success, driving efficiencies and reducing administrative burden in a regulated environment
- Oversight of all compliance aspects of your business
Measure adviser, business and supervision activity and provide clear management information.
Act on trends and concerns highlighted by your compliance reporting.
Evidence the decisions and actions your business takes to ensure good practice.
Key Features
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Key Regulatory Registers
All your key regulatory registers held in one place, including Complaints, Promotions and Breaches.
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Automated KPIs and One-to-Ones
KPIs are automatically calculated and one-to-one visit documents are generated using data from throughout the system.
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File Selection
Cases can be automatically selected for checking, based on adviser licences and other predefined rules, or called manually.
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File Checking Process
A single portal for files to be uploaded, reviewed and graded, giving a consistent file checking process.
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Document Library
A central repository for your documentation, such as templates, guides and policies, including version control.
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Regulatory Reporting
RegData reports are automatically generated from Turnover and New Business registers.
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Key Management Information
A suite of reports that draws information from across the system, providing oversight of firms and advisers.
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Audit Trail of Oversight and Monitoring
Automatically named and dated notes can be recorded providing evidence of communication and decision-making.
Where we fit in your business
Our Background
TriTech Compli Limited was formed to provide hands-on, pragmatic support to financial advice firms, or those overseeing such firms, in meeting their regulatory responsibilities through effective oversight of firms and advisers.
Our software has been monitoring firms and advisers for more than 10 years in a regulatory environment and continues to evolve in an ever-increasing regulatory market. It is built to be intuitive for both the advisers and those providing oversight functions; efficiencies driven by automation have been key to our design decisions.
Our team has been involved in developing and running the software since its inception.