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Compliance Management Software

Compliance Management Software

Track, monitor and evidence compliance with regulatory obligations

Regulated firms must take reasonable care to establish and maintain such processes and controls that are appropriate to their business activities.  Ruleguard’s Compliance Management solution provides firms with a cost-effective solution that enable robust oversight of business activities. 

Firms can map rules to operational processes and link them to identified risks and controls.  Transparent oversight allows you to track team, or group, activities and avoid missing any crucial actions along the way. 

Control functions can easily identify any potential issues via the personal dashboards and system alerts to encourage a proactive approach to compliance.

Solution Features

Tracking activities through to completion, monitoring adherence to the requirements and providing evidence of compliance is complex and time consuming.  Ruleguard’s solution provides the following features:

  • Map applicable rules to your processes, risks and controls to build your risk management framework

  • Automate and schedule tasks for completion at a frequency that suits you

  • Obtain and provide real-time status updates via users’ personal dashboards

  • Improve oversight of your processes and controls to enable early identification of any potential issues

  • Escalate identified incidents and breaches speedily for prompt resolution

  • Easily identify breaches in Code of Conduct requirements facilitating compliance with your accountability obligations

  • Facilitate recording and management of conflicts of interest and personal account dealing

  • Improve risk based compliance monitoring by easily identifying areas requiring attention  

  • Robust audit trail providing evidence and complete history of workflows

Facilitate proactive risk management via early warning alerts

Build your audit trail and evidence at each step in your process

Demonstrate oversight

of any third parties and


Encourage individual accountability

Improve the effectiveness

of your compliance, risk

and audit functions

Provide assurance to senior managers of ongoing compliance 


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