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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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Map organisational structure, track responsibilities and delegation, evidence reasonable steps & automate submissions to regulators 

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Tasks &

Assign granular tasks to individuals with detailed control over dates & times

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Incident & Breach Management

Raise and manage compliance incidents & breaches through the complete analysis and root cause life cycle for audit preparation

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Third Party

A seamless control environment between you and your third parties for genuine oversight

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


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