Bank Compliance Software That Helps Before, During, and After Exams

By SimplifyIT | Published

Compliance Doesn't Always Mean Another System

When banks hear "compliance software," they picture another siloed tool - expensive, hard to integrate, and used by just one department. But many of the most critical compliance tasks - tracking policy acknowledgments, documenting change control, showing audit readiness - can live right inside your intranet.

Real-World Scenarios

Think beyond checkboxes and sign-offs. Here's what banks are already doing with intranet-based tools:

  • HR pushes out an updated Code of Conduct and tracks acknowledgments by department and employee.
  • IT documents completion of cybersecurity training with workflow-based routing and timestamped history.
  • Compliance runs a real-time report showing which users still haven't acknowledged a policy - sorted by risk level.
  • Operations logs rate correction issues (e.g., an incorrect CD rate) as ticketed events with date-stamped resolutions.
  • Audit prep includes exporting past versions of policies, evidence of patching servers, and proof of annual reviews - all without searching through inboxes or shared folders.

No More Loose Ends

If you're still managing compliance workflows through email, spreadsheets, or shared drives, it's only a matter of time before something gets missed - and an auditor will spot it. SimplifyIT replaces that manual mess with structure, accountability, and full visibility.

  • Every policy change is version-controlled.
  • Every acknowledgment is logged and timestamped.
  • Every major issue has a paper trail - without the paper.

Common Questions

Is SimplifyIT a full compliance management system?
Not exactly. We're not a full-blown GRC suite - but our intranet includes the core tools examiners look for: policy acknowledgment, audit logging, workflow tracking, and retention history.
How does the intranet help during audits or exams?
You can instantly pull acknowledgment logs, show completed training workflows, filter by branch or role, and export compliance evidence in seconds - no spreadsheet mess required.
Can we track who completed what - and when?
Yes. Every step in a workflow is timestamped: policy acknowledgments, training completions, offboarding checklists - it's all logged and searchable for audit trails.
Can we track access to core systems like Microsoft 365 or our banking platform?
Absolutely. Access tasks can be included in intranet workflows. You'll have a clear record of who granted access, when it was revoked, and who completed each step.
What about tracking hardware like laptops and tokens?
You can assign checklist steps for device issuance and returns, including serial numbers or asset tags - all logged automatically in the workflow history for future audits.

What SimplifyIT Covers

Related Resource

If you're focused on FDIC compliance, this guide breaks down how SimplifyIT helps banks meet documentation and acknowledgment requirements with clarity and control.

Let's Simplify Compliance

Watch the demo to see how SimplifyIT helps banks streamline everyday compliance tasks with less risk and better records.

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