Why MO®nitorAI helps you
Automate client file reviews
Automate client file reviews against all FCA requirements giving the ability to audit all client files rather than be reliant on covering a small segment
- Delivers material compliance, assessing all file documents are present and in chronological order, dated, signed and audited via MO®nitor document scanner
- Provides RAG scoring to assess the strength of the client file audit
- Evidences a strong audit trail by providing a date and name stamped notes functionality, regulatory rule benchmarking and document downloads
Automate audit for all documents
Automate audit across all business and compliance policy documents and templates providing real time RAG scan audit dashboard reports
- Ability to drag and drop or pull compliance documents and business policies onto the Monitor interface and deliver automated document audits, AI driven RAG rating and guidance with further guidance provided by MO®’s compliance team
Client data health check
Provide a data quality health check across all client data
- Sense checks any duplicated clients and missing data fields for clean-up and ensure high quality client data
Training and Competence (T&C)
Deliver aggregated Training and Competence (T&C) dashboards tracking all FCA T&C rules and KPI performance management
- Dynamic and configurable T&C dashboards that provide supervisors and senior managers with all relevant staff skill and conduct data required to assess competence against the FCA T&C regulations
- Integration with the FCA register
- Advice suitability AI diagnostic automating advice suitability audits
- CPD, complaint and root cause tracking
- Business policy register that automatically audits each policy and compliance document against FCA regulations providing streamlined sign off against the latest rules
