COMPLIANCE
BEHAVIOUR
Compliance Behaviour is a program part of the AUDCOM platform that offers a wide range of solutions for compliance related needs across various industries. The program is adaptable for your firm's needs in compliance, with a detailed structure and an easy to use interface.
The program has a core objective of remaining compliant in communications, marketing, consultancy and development of the compliance knowledge basis.
Core Feature
CALLS & WRITTEN COMMUNICATION MONITORING
Clarity, Accuracy through Simplicity in Communication Monitoring.
HOW DOES IT WORK?
Upload Communication Files
Begin by uploading your communication files into the Compliance Behaviour system. Select the relevant regulatory body to ensure that the analysis aligns with the specific compliance standards required for your industry.
Select Language
Choose the language spoken by your agents to ensure that the system accurately monitors and understands the context of communications, providing precise analysis regardless of language differences.
Risk Matrix Monitoring
The monitoring process initiates using a tailored Risk Matrix, customized to fit your company's unique risk profile and regulatory requirements. This ensures a focused approach that addresses potential compliance gaps.
Report Issuance
The system generates detailed reports, categorizing communications into compliant and non-compliant groups. It also provides individualized feedback for each agent, allowing for targeted improvements.
Core Feature
MARKETING MATERIAL REVIEW
Compliance Behaviour offers a robust solution for performing compliance checks on your firm's own (first-party) marketing materials, assessing content your team creates in-house so it aligns with industry regulations and standards.
Scope: this assesses your firm's own internal marketing material. To monitor third-party partners' and affiliates' marketing, see Marketing Monitoring.
Fair, Clear & Not Misleading
Ensuring and approving marketing material that is fair, clear and not misleading. Suggestions on material content and consultations with your firm's marketing team.
End-to-End Support
Remaining helpful at the creation, campaign planning, content productions and content delivery. Issuing reports of the content and approval of compliance standard.
COMPLIANT OR UN-COMPLIANT?
How does it work?
Core Feature
COMPLAINTS HANDLING
Effortless Resolution, Zero Hassle in Complaints Handling.
HOW DOES IT WORK?
Initiate Case
Start the process by setting up a new case on the Compliance Behaviour platform. Input all necessary details related to the client's compliance requirements, ensuring that the information is accurate and comprehensive.
Select Regulatory Body
Choose the appropriate regulatory authority with which the client is affiliated. This selection aligns the compliance check with the specific guidelines and standards that the client must adhere to.
Assessment Begins
Once the case is established and the regulatory body is selected, the assessment phase commences. The system thoroughly evaluates the client's information against the relevant compliance standards.
Results & Recommendations
After the assessment is complete, detailed results are generated, highlighting areas of compliance and non-compliance. The platform also provides actionable recommendations.
Questions & Answers
FREQUENTLY ASKED QUESTIONS
What does Compliance Behaviour cover?
It brings together call monitoring, written-communication monitoring, review of your firm's own (first-party) marketing material, and complaints handling in one platform.
How is our communication data handled?
Uploaded communications are processed within the AUDCOM platform under GDPR-aligned controls, with role-based access and configurable retention. You remain the data controller.
How do we get our data into the platform?
You upload communication files and marketing material directly through the platform and select the relevant regulator. Contact us to discuss integrating with your existing systems.
Which regulators and languages are supported?
Monitoring is based on your regulatory requirements and configured to your regulator's standards, and the system covers several languages so multilingual teams are assessed accurately.
How quickly can we start monitoring?
Most teams are set up within days, once files and your risk matrix are configured.
Is this the same as Marketing Monitoring?
No. Compliance Behaviour reviews your firm's own internal marketing material. Monitoring third-party partners' and affiliates' marketing is handled by AUDCOM's separate Marketing Monitoring product.
READY TO TRANSFORM YOUR COMPLIANCE?
Start monitoring your communications today and ensure complete regulatory compliance across all channels.