Intapp Employee Compliance is a SaaS platform designed for professional services, financial, and legal firms to automate and centralize employee compliance management. The platform streamlines pre-clearance of trades, monitors outside business activities, and manages regulatory documentation, providing a single source for policy tracking and compliance oversight. It enables firms to configure workflows to match specific regulatory and internal requirements, supports compliance attestations, and offers real-time insights into firmwide compliance actions. The system is scalable to adapt to evolving regulations and organizational growth, and it promotes a proactive compliance culture by making it easier for employees to disclose interests and for compliance teams to review and manage activities. Integration with other firm systems and customizable reporting further enhance transparency and audit readiness.

Key Features

Automated Trade Monitoring Streamlines pre-clearance and compliance checks for employee trades.

• Flags trades for compliance review
• Links and monitors data from brokerages

Activity Tracking Monitors employees’ external activities and business interests.

• Identifies potential conflicts of interest
• Supports disclosure and attestation workflows

Centralized Compliance Oversight Provides a unified platform for policy management and documentation.

• Single source for policies, approvals, and adherence records
• Efficient record-keeping for audits and investigations

Customizable Workflows Adapts to firm-specific regulatory and policy requirements.

• Configurable approval processes and restricted lists
• Supports regulatory language and firm branding

Real-Time Insights and Reporting Offers visibility into compliance actions and trends.

• Transparent, detailed documentation
• Exportable reports for audits and management

Scalable Architecture Grows with organizational and regulatory changes.

• Supports firms of all sizes
• Adapts to new compliance requirements

Benefits

Reduced Compliance Risk Minimizes the risk of regulatory breaches and unauthorized activities.

• Automated monitoring and alerts
• Proactive identification of issues

Improved Audit Readiness Facilitates efficient and transparent regulatory audits.

• Centralized documentation and reporting
• Quick retrieval of compliance records

Enhanced Employee Engagement Simplifies compliance for employees and promotes ethical culture.

• Easy disclosure and attestation processes
• Encourages proactive policy adherence

Operational Efficiency Streamlines compliance management and reduces manual workload.

• Automated workflows and notifications
• Centralized oversight for compliance teams