Overview

Intapp Employee Compliance is a robust software solution designed for organizations, particularly in financial services and legal industries, to ensure regulatory adherence and minimize risks associated with employee activities. By automating compliance workflows, such as trade pre-clearance and outside activity monitoring, the platform centralizes policy tracking and supports regulatory audits. Its proactive compliance tools foster transparency and protect firms from financial and reputational risks, enabling organizations to streamline processes while maintaining high ethical standards.

Features and Capabilities

• Automated Trade Monitoring: Streamlines pre-clearance processes and flags trades for compliance checks.
• Activity Tracking: Monitors employees' external activities to identify and address potential conflicts of interest.
• Centralized Compliance Oversight: Provides a single source for policies, approvals, and employee adherence records.
• Regulatory Documentation Management: Ensures efficient record-keeping and quick retrieval for audits or investigations.
• Risk Mitigation Tools: Detects and prevents unauthorized trading and regulatory breaches.
• Real-Time Insights: Offers firmwide visibility into compliance actions to prevent escalation of risks.
• Transparent Reporting: Builds trust through detailed documentation of compliance processes and policy adherence.
• Scalable Architecture: Adapts to evolving regulatory landscapes and growing organizational needs.
• Compliance Attestation: Enables employees to affirm their understanding and compliance with company policies.
• Ethical Culture Promotion: Encourages a proactive compliance culture that safeguards the firm’s integrity.