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Financial Market 

Compliance


An efficient compliance program is essential to follow the constant changes in the regulatory market and to collaborate in combating corruption crimes and money laundering.
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Compliance Specifics for the Financial Market
In August 2017, the Central Bank published guidelines for financial institutions and credit cooperatives to implement compliance policies by the end of the year. This was stipulated by Regulation No. 4,595 and intends to implement integrity policy control as well as establish good practice standards.

All this effort is being made to avoid that the crimes that occured, and are being revealed by Operation Car Wash, won’t happen again or continue tarnishing the organizations’ reputations. One of the country’s largest banks, for example, has structured it’s compliance area with a current team of 1,600 employees. Other banks are also organizing their respective compliance areas to adjust to the regulation by the deadlines.

Financial institutions are looking to structure their compliance programs in order to gain agility in providing information requested by authorities in corruption and money laundering investigations.
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ClickCompliance is a software that controls the acceptance and understanding of the rules and corporate policies of all those involved in the company’s business, from employees to suppliers, representatives and resellers. It works on an SaaS model, in the cloud and has a responsive structure, adapted for any mobile device. In addition, clickCompliance has a functionality that controls the validity of all documents and policies, contributing to the entire compliance program being up to date with BACEN and other regulatory bodies' standards.
With clickCompliance you can :
  • Send alerts and reminders to all users and departments.

  • Register policies by target audience.

  • Permission of policies and documents by area.

  • Periodically synchronize users.

  • Set up approval workflow for documents and policies.

  • Generate reports accepting documents and policies and view them in a dashboard with analytic reporting, per-user and per-policy acceptance control.

  • Send and analyze questionnaires for validation of policies and documents.

  • Revalidate and version policies and documents.