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Choose your compliance modules

Choose from our range of existing modules. Alternatively, it’s easy and affordable to develop new modules to meet your specific needs.

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Monitoring
Module

Create, manage and simplify core compliance monitoring activities for your regulated financial services and regulatory hosting platform clients, within a single platform.

Manual monitoring will be a thing of the past. Metior Hub’s Monitoring module will save you time and money by handling routine tasks, freeing up consultant time to focus on higher-value tasks.

Consistent
and efficient

By using master question lists and review templates, you can create monitoring schedules, including recurrence frequency, and assign them to individuals or teams from within the platform.

You gain efficiency and simplify compliance for your clients, through consistent and repeatable assessment methods across firms and jurisdictions. These include new regulatory advisory risk assessments, gap analysis, due diligence, annual audits, periodic assessments or thematic reviews.

Continuous
oversight

Continuous oversight is provided through multi-client dashboard and compliance calendar views, with easy access and insights into monitoring programs, compliance status, with drill-through to detailed client compliance data, ensuring you’re always in control.

Centralised at-a-glance
information

Centralised progress and compliance level oversight at management, consultant and team level is provided through traffic lighting (RAG), dashboards, and charts, allowing you to manage, track and evidence client compliance programs.

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1. Configure
2. Standardise
3. Customise

Configure the Monitoring module to suit your specific business requirements.

Configure
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Set client profile attributes e.g., FCA; SEC; NFA. Automatically link client-specific questionnaires based on profiles, ensuring the right content gets to the right client.

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Group clients based on review frequency e.g., monthly. Streamlining the scheduling process to ensure content gets to clients on time.

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Client users and teams are created to manage access, schedule teams across clients, and facilitate communication to improve consultant-client relationships.

Standardise content delivery and compliance management, for each of your client’s needs.

Configure
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Create centralised master question lists to replace complex spreadsheets and documents.

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Include automated tasks and recommendations to streamline the consulting process and reduce resource overhead per client.

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Empower administrators to manage content dynamically, creating client-specific questionnaires based on profile attributes, with updates available to clients and users immediately.

For a tailored user experience.

Configure
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Brand forms to increase brand value with your clients.

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Work with our team of developers to enhance module functionality to suit your specific requirements.

1. Configure

Configure the Monitoring module to suit your specific business requirements.

  • Set client profile attributes e.g., FCA; SEC; NFA. Automatically link client-specific questionnaires based on profiles, ensuring the right content gets to the right client.

  • Group clients based on review frequency e.g., monthly. Streamlining the scheduling process to ensure content gets to clients on time.

  • Client users and teams are created to manage access, schedule teams across clients, and facilitate communication to improve consultant-client relationships.

Standardise content delivery and compliance management, for each of your client’s needs.

  • Create centralised master question lists to replace complex spreadsheets and documents.

  • Include automated tasks and recommendations to streamline the consulting process and reduce resource overhead per client.

  • Empower administrators to manage content dynamically, creating client-specific questionnaires based on profile attributes, with updates available to clients and users immediately.

3. Customise

For a tailored user experience.

  • Brand forms to increase brand value with your clients.

  • Work with our team of developers to enhance module functionality to suit your specific requirements.

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Employee
Compliance Module

Reduce employee compliance risk for your clients by digitising requests, declarations, attestations and registers.

Reduce risk and improve communication efficiency for your clients by automating time-consuming processes and replace complex networks of worksheets, documents and emails with a digital process that streamlines the management of employee compliance.

Manage and track

Your clients will be able to manage and track the status of all requests, declarations and attestations, with assurance that nothing can ‘slip through the cracks’.

Do this by easily creating custom submission templates and forms for requests, approvals, declarations, attestations, complaints, or checklists, such as:

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Requests – financial promotions; gifts & entertainment; personal account dealing

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Declarations – complaints; breach notification; conflicts of interest; restricted list notification

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Attestations – compliance attestation; political contributions; Bad Actor certification

Flag employee
submission risk

Set form rules to immediately highlight or flag risk based on responses, or multi-level approval workflow that is managed via email and dashboard notifications. You can even create versions for specific clients to cater for personal preferences and workflow.

Easy audit
and retrieval

Need to conduct an audit, or quickly find a form or document? All forms, whether approved, declined, or cancelled, including supporting documentation, are automatically stored in relevant registers for retrieval and analysis, providing full transparency and compliance assurance.

View
and export

Using built-in analytics, you can view and export complete submissions registers, conduct specific form analysis, or focus on flagged items, across all clients, or at a firm or user level.

1. Configure
2. Standardise
3. Customise

Configure the Employee Compliance module to suit your specific business requirements.

Configure
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Set client profile attributes e.g., FCA; SEC; NFA. Automatically links client-specific form templates based on profiles, ensuring the right content gets to the right client.

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Set red/black flag triggers to immediately highlight potential risks or issues for approvers.

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Set currency and value limits on forms to align submissions with internal client policies.

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Client users and teams are created to manage access and workflow for preferred authorisation and approval levels.

Standardise employee compliance to suit each of your client’s needs.

Configure
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Create customised form templates by type i.e., requests; declarations; attestations.

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Administrators are empowered to manage content dynamically, creating unique form versions to cater for specific firm or client requirements.

For a tailored user experience.

Configure
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Brand report templates to increase brand value with your clients.

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Work with our team of developers to enhance module functionality to suit your specific requirements.

1. Configure

Configure the Employee Compliance module to suit your specific business requirements.

  • Set client profile attributes e.g., FCA; SEC; NFA. Automatically links client-specific form templates based on profiles, ensuring the right content gets to the right client.

  • Set red/black flag triggers to immediately highlight potential risks or issues for approvers.

  • Set currency and value limits on forms to align submissions with internal client policies.

  • Client users and teams are created to manage access and workflow for preferred authorisation and approval levels.

Standardise employee compliance to suit each of your client’s needs.

  • Create customised form templates by type i.e., requests; declarations; attestations.

  • Administrators are empowered to manage content dynamically, creating unique form versions to cater for specific firm or client requirements.

3. Customise

For a tailored user experience.

  • Brand report templates to increase brand value with your clients.

  • Work with our team of developers to enhance module functionality to suit your specific requirements.

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Document
Library Module

Upload, distribute and manage compliance documents for your clients in a centralised document library structure.

Improve efficiencies and eliminate client risk by switching from an outdated, manual based documentation process. The Metior Hub Document Library module allows you to upload, distribute, edit, and maintain compliance policies and procedures in organised, predefined folders.

These are easily configured in centralised document library structures, putting all compliance documents in one place. From here your clients can choose to use suggested folder structures and compliance documents or create their own to centralise the management of internal documents.

The right documents
get to the right clients

Document properties support access based on firm attributes, for example FCA; SEC; NFA, ensuring clients get access to documents relevant to them. Employee access is controlled by assigning permissions at user or team level.

Keep track
and control

Versioning with unalterable audit trails of all document-related activities provides management control, meaning the history of document updates or evolution is maintained. Easily accessible download registers at a document level provide an audit trail of who has accessed the document, and when.

Keep documents
up to date

Make sure compliance documents are maintained and always up to date. Annual reviews, updates or expiry dates related to specific documents can be scheduled, with your clients notified as soon as changes are made.

1. Configure
2. Standardise
3. Customise

Configure the Document Library module to suit your specific business requirements.

Configure
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Manage document properties e.g., version; firm and user access; review cycles. Gives administrators ultimate control by automating document distribution and update notifications.

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Set document access policies based on client profile attributes e.g., FCA; SEC; NFA. Ensures the right documents are distributed to the right client automatically.

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Client users and teams are created to help client administrators manage document access.

To suit each of your client’s needs.

Configure
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Combine your expertise with our technology to standardise Document Library content delivery and management.

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Administrators can create suggested client folder structures, and upload the documents for automatic distribution and standardisation of policy and compliance packs.

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Design bespoke document versions to cater for specific client requirements.

For a tailored user experience.

Configure
Circle

Work with our team of developers to enhance module functionality to suit your specific requirements.

1. Configure

Configure the Document Library module to suit your specific business requirements.

  • Manage document properties e.g., version; firm and user access; review cycles. Gives administrators ultimate control by automating document distribution and update notifications.

  • Set document access policies based on client profile attributes e.g., FCA; SEC; NFA. Ensures the right documents are distributed to the right client automatically.

  • Client users and teams are created to help client administrators manage document access.

To suit each of your client’s needs.

  • Combine your expertise with our technology to standardise Document Library content delivery and management.

  • Administrators can create suggested client folder structures, and upload the documents for automatic distribution and standardisation of policy and compliance packs.

  • Design bespoke document versions to cater for specific client requirements.

3. Customise

For a tailored user experience.

  • Work with our team of developers to enhance module functionality to suit your specific requirements.

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Build New
Modules

It’s easy and affordable to develop new modules.

With Metior Hub’s flexible architecture and dedicated team of business analysts, solution architects and developers, your unique requirements will be met, quickly and efficiently.

Because of our existing compliance knowledge and software expertise, we don’t have to reinvent compliance or build from scratch. Time-to-market is optimised and the demand on your resources and time is kept to the minimum.

Plus, because we believe that all new module development adds further value to Metior Hub, there are no development costs, only a monthly subscription fee and nominal once-off service fee.