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Compliance Solutions for Human Resources

Compliance Solutions for Human Resources

The SMCR in the UK and other accountability regimes around the world require firms to understand and allocate key responsibilities to senior executives within their organisation. Firms are responsible for appointing and assessing not only competence, but fitness of individuals to fulfil regulatory obligations.  The role of Human Resources becomes paramount in the effective adherence to the regulations and ensuring legal compliance.

Various accountability regimes require firms to deal with a large amount of new documentation, as well as updating processes and maintaining accurate records.  The HR team needs to ensure that they have a clear picture of the organisation, its reporting lines as well as individual responsibilities. To support this, having effective digital systems and processes becomes essential for HR functions.

We work with senior HR professionals to automate most of the processes related to compliance with the accountability regimes. With our solution, firms can document every employee who is subject to the individual accountability regimes, as well as organise and maintain information needed to comply with the rules.

Why Ruleguard for Human Resources?

Provide Assurance to Governing Bodies:

Ruleguard allows you to configure automated workflows including onboarding, offboarding, change of responsibilities, certification, delegation, etc. ensuring that the HR team can track the timely completion of activities. 

Rich and Timely Reporting

Ruleguard's personal dashboards allow individuals to track key tasks, complaints and issues in real-time to generate timely reports without fuss.


Ruleguard helps you to:

  • Automate certification workflow

  • Guarantee evidencing reasonable steps

  • Ensure completion of all accountability regimes related activities

  • Minimise regulatory risk

  • Track compliance across multiple legal entities

  • Maintain timely recordkeeping

  • Reduce cost overheads

Solutions for Human Resources

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A fully configurable solution designed to streamline compliance with the requirements of the international accountability regimes including Senior Managers & Certification Regime and SEAR. Requirements supported include: fitness & propriety and T&C assessments, certification, MRMs, SORs and individual conduct breaches.

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Tasks &

Ruleguard enables firms to administer and control evidence related to an event or multiple events. Firms can provide assurance relating to events with supporting evidence that can be tested by independent parties.

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Incident & Breach Management

Ruleguard users have access to a fully configurable incident and breach management solution to record, track, investigate and remedy any identified regulatory incidents/breaches and risk events and map them to the impacted rules, controls and operational processes.

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Client Assurance

The Ruleguard platform facilitates the sharing of key data between firms via a secure gateway.  Firms can share specific content, allocate & track tasks to completion whilst also establishing a full audit trail.

Learn how Ruleguard can help reduce costs, improve efficiency, and mitigate risk.


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