Compliance Tracking for Financial Institutions
Built specifically for financial institutions, our compliance tracking features help credit unions, wealth managers, and other financial services providers stay ahead of audits, exams, and policy updates. SimplifyIT makes it easy to track employee acknowledgments, monitor version history, and maintain full audit trails - without relying on manual spreadsheets or third-party add-ons.
Key Compliance Features
- Policy Acknowledgment: Automatically collect and record when employees read and accept new or updated procedures.
- Version History: Retain a full change log for each document, complete with timestamps and editors.
- Audit Trails: Every change, view, or submission is tracked with detailed audit history - no extra software required.
- Compliance Alerts: Notify staff of overdue acknowledgments, incomplete workflows, or missing documents in real-time.
Designed for NCUA, SEC, and FDIC Expectations
Our platform supports real-world compliance requirements from regulators and internal auditors. Whether you're preparing for an exam or documenting risk management activity, SimplifyIT ensures you're ready.
Go Beyond the Basics
- Role-based visibility: Ensure the right people see the right procedures - and only what applies to them.
- Linked workflows: Automatically trigger tasks, approvals, or alerts when policies are updated or unacknowledged.
- Long-term recordkeeping: Maintain secure logs for years, with export options to support regulators or legal teams.
Helpful Definitions & Related Features
- Audit Trail - Complete tracking of views, edits, and approvals.
- Policy Acknowledgment - Ensure staff confirm receipt and understanding.
- Workflow Forms - Automate compliance documentation and reporting.
- Searchable Archive - Instantly find compliance documents by title, tag, or phrase.
