at Financial Technnology Year
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Refinitiv Compliance Manager
from LSEG Data & Analytics
Offers solutions for transaction monitoring, Know Your Customer (KYC) compliance, and anti-money laundering (AML) efforts. It leverages global data and AI-driven insights to streamline compliance processes and reduce regulatory risk.
Category:
Compliance Management
in:
Compliance
Platforms for managing the overall compliance program, including policy management, training, and regulatory change management.
Analysis on right >
Compliance Management analysis
Continuous Improvement & Risk Management
(9 Yes /9 Known /10 Possible features)
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1. Management Review Dashboard
Special review dashboards for compliance managers or auditors.
Manager/audit dashboards are a standard part of the solution.
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2. Key Risk Indicator (KRI) Monitoring
Monitors leading indicators for early warning of compliance risks.
Risk indicators/monitoring are provided in the risk and control functions.
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3. Continuous Control Testing Frequency
The number of control tests the system can run automatically on a periodic basis.
No information available
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4. Automated Remediation Recommendations
Provides suggestions for closing compliance gaps.
System can make remediation recommendations to close compliance issues.
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5. Heatmap Generation
Visualizes areas of compliance risk across entities or processes.
Heatmaps and visual risk indicators are part of the analytics dashboard.
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6. Incident Management
Logs and manages remediation of compliance incidents.
Incident management, logging and remediation tracking are well documented.
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7. Compliance Calendar
Central calendar for deadlines related to regulatory filings or policy reviews.
Compliance calendar and reminders are supported for important filing dates/deadlines.
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8. Corrective and Preventive Action (CAPA) Tracking
Tracks completion and effectiveness of corrective actions.
Corrective action and effectiveness tracking is part of compliance improvement capability.
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9. Automated Gap Analysis
Automatically identifies gaps in existing compliance controls.
Automated gap and controls analysis is referenced in risk management documentation.
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10. Compliance Risk Assessment Tools
Enables assessment of compliance risk at entity, product, or process levels.
Compliance risk analysis and assessment modules are part of core features.
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Training & Knowledge Management
(8 Yes /8 Known /10 Possible features)
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User Experience & Accessibility
(8 Yes /8 Known /10 Possible features)
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Integration & Interoperability
(9 Yes /9 Known /10 Possible features)
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Data Management & Quality
(9 Yes /9 Known /10 Possible features)
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User Access & Security
(8 Yes /8 Known /10 Possible features)
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Workflow Automation
(9 Yes /9 Known /10 Possible features)
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Audit & Reporting
(8 Yes /8 Known /10 Possible features)
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Anti-Money Laundering (AML)
(10 Yes /10 Known /11 Possible features)
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KYC & Customer Due Diligence
(10 Yes /10 Known /11 Possible features)
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Regulatory Compliance Monitoring
(8 Yes /8 Known /10 Possible features)
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Publicly available data, summarised using AI.
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