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COMPLIANCE MANAGEMENT

The Challenge

In today’s age of accelerating regulation and scrutiny, organisations face an expanding range of regulatory obligations, standards, codes and internal policies with which they must comply. The variety of compliance certification obligations now befalling directors and officers means that effective compliance management is critical to the protection of brand value, maintaining operating licenses, avoiding productivity and business disruption and protecting directors and officers from legal liability.

With increased demand for compliance accountability, the lack of effective tools and processes to drive obligation awareness throughout the corporation and to assess compliance effectiveness leaves many corporations exposed to unacceptable levels of compliance risk.

Leaders4 - Compliance Solution Software

Leaders4 is an integrated governance, risk and compliance (GRC) software solution that drives sustainable compliance by:

·	Formally capturing all corporate compliance obligations
·	Identifying high risk obligations warranting periodic assessment
·	Effectively communicating compliance obligations throughout the business
·	Automating control assessment and survey processes to continually measure compliance effectiveness at all levels in the business
·	Escalating compliance assessment hot spots to appropriate stakeholders
·	Capturing, classifying and driving effective resolution and reporting of compliance incidents and regulatory breaches
·	Delivering real time reporting of compliance status to Management and the Board

Supporting Sarbanes-Oxley, Basel II, ISO, COBIT and key regulations, standards and codes in areas including finance, energy, health and safety, human resources, anti-terrorism, privacy and records management, Leaders4 provides organisations with one dynamic tool for automating all dimensions of their compliance management methodology.

With Leaders4, corporations have complete versatility in the choice of compliance management approach. Utilising the Leaders4 risk management methodology, the selection of a compliance assurance approach can be tuned according to the level of compliance risk and include:

·	Centralised compliance assurance performed by a central organisation or group
·	Decentralised assurance testing performed by stakeholders and control process owners throughout the corporation
·	Enterprise wide compliance surveys to relevant obligation stakeholders and operatives
·	A combination of centralised compliance assurance and compliance surveys defined in accordance with the assessed compliance risk.

Leaders4 provides the flexibility to allow you to establish a compliance assurance model consistent with the processes, culture and obligation needs of your business.

Features & Benefits

Flexible Compliance Control Framework – Leaders4 is fully configurable to meet the specific compliance requirements of any organisation – processes do not need to be changed to fit the solution. Frameworks can be easily updated to incorporate changes in the compliance environment.

Compliance Testing and Assessment Automation – Leaders4 invokes assessment processes according to specified test plans, schedules and triggers, sending automatic notifications and follow ups and escalating late responses to ensure timely returns for control testing.

Powerful and Flexible Reporting– Leaders4 allows compliance staff, line management and executives to generate comprehensive, customized graphical reports at all levels, allowing managers to confidently certify based on a true snapshot at a given point in time.

Integrated Incident Management – Leaders4 provides for the recording and classification of all complaints/breaches in a central repository and workflow capabilities drive the management of all incidents, ensuring satisfactory resolution and, where appropriate, that breaches are reported to the Board and regulators.

Simple for the Business Line – Leaders4 uses email based notification to inform stakeholders in the business line of their assessment commitment - with one click presentation of control tests and survey questions relevant to each respondent. Simple response mechanisms and distribution to delegates ensures low cost and low impact.

Personalised Interfaces – Leaders4 provides intuitive, personalised interfaces that only displays content and tasks specific to each user, eliminating the need for extensive end-user system training and making Leaders4 simple to navigate for even the most infrequent system user.

Support Complex Entity Structures – Leaders4 allows corporations to implement differing certification and reporting requirements across business units, processes and functions and to maintain compliance integrity through periods of major organisational changes.

Automated Workflow – Leaders4 provides fully automated workflow capabilities and drives the specification, execution, monitoring, and coordination of the flow of compliance and certification activities across the entire organisation significantly reducing administrative overhead.

Real Time Progress Monitoring – Leaders4 allows stakeholders to observe respondent progress on Survey and Control Assessments, monitor and interrogate negative responses and request further information if desired.

Download "Compliance Management Software Solution" Datasheet

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