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An innovative IT tool that responds to the growing and dynamically changing regulatory requirements of the financial market in Poland.

We help increase the efficiency and effectiveness of the internal control system

EFFICIENCY

EFFECTIVENESS

Introduction - why was Compli created in the first place?

Seeing the enormity of regulations, amendments (in particular: the Regulation of the Minister of Development and Finance on the risk management system and the internal control system, the remuneration policy and the detailed conditions of internal capital assessment in banks and “Recommendation H”) that have recently entered into force on the financial market and which banks are required to implement, we have noticed a huge organisational challenge for those involved in the internal control system. Identification and maintenance of an up-to-date list of relevant processes, control mechanisms and specific objectives and making them available to all stakeholders, planning and monitoring of required verifications and tests, implementing recovery plans, cooperation between multiple organisational units, work with various final file formats are just some of the problems experienced by people involved in the internal control system. Many of these challenges can be addressed with an IT tool. That is why we created COMPLI. When developing our application, we wanted it to be as user-friendly as bank client systems are. We focused on making it intuitive, aesthetic and modern. The users are closely “guided”, they can easily find the information they need; the tasks are organised. No more having to analyse thousands of files, manually collect data or keep an eye on deadlines - with Compli you will achieve HARMONY OF COMPLIANCE.

Compli is made available in the cloud as a SaaS (Software as a Service) or in the client's infrastructure.

When we created our system, we used the best programming practices, applied modern technologies and paid special attention to security, complying with the requirements of Recommendation D. The system is currently made of 2 modules. Access to data is encrypted and depends on the role assigned in the system. The application uses versioning of records and full tracking of changes. It works with the e-mail application MS Outlook, it sends e-mail notifications and allows the integration of authentication with the company's Active Directory.

Module I

Compliance Implementation

The application facilitates the implementation of legal provisions and regulatory requirements. Compliance risk management is systemic and automated. A central library of documents, definitions and footnotes gives users full access to current information on changes introduced by the supervising authority.

The tool provides insight into the current compliance status of the organisation with respect to a specific standard or all regulations for a given institution. It allows to quickly report compliance status and monitor the progress of individual tasks. Predefined reports embedded in the application streamline the process of preparing documentation for the supervising authority.

Module II

Control Function Matrix

The application automates the management of the Control Function Matrix as well as planning and monitoring of activities arising from the Matrix. It allows centralisation of all information on detected irregularities and post-audit recommendations. The system guides the user through the entire life cycle of the Matrix.

Starting from its definition (specific objectives, relevant processes, key control mechanisms and their relationships), through the implementation of independent monitoring tasks, to detecting irregularities and implementing recovery plans. The intuitive dashboards aggregating the most important information about individual stages of the process for both operational employees and supervisory roles are especially noteworthy.

By implementing COMPLI, you will benefit from:

REGULATORY BENEFITS

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MEETING OF REGULATING BODIES’
EXPECTATIONS

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PROTECTION AGAINST
SANCTIONS

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TIMELY IMPLEMENTATION OF
REQUIREMENTS

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PERIODIC AUDITS
CARRIED OUT ON TIME

MANAGEMENT BENEFITS

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AUTOMATIC
REPORTING

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FAST AND PRECISE
EXECUTIVE INFORMATION

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CENTRALISED
KNOWLEDGE MANAGEMENT

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ALL THE NECESSARY
INFORMATION AVAILABLE
IN ONE PLACE

PROCESS BENEFITS

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CLEAR DISTRIBUTION OF ROLES
AND RESPONSIBILITIES

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ECONOMIES OF TIME
AND RESOURCES

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USER CLOSELY GUIDED

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EFFICIENT
COMMUNICATION

References

  • We are happy to inform that our cooperation with ADT Group sp. z o.o. was exemplary, both with regards to the essence and to the execution. By implementing COMPLI software in the DNB Bank Polska S.A. Environment, ADT Group demonstrated that it is a credible and reliable Partner.

    Jarosław KomierzyńskiRisk Management Department Director, DNB Bank Polska S.A.

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