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News

Compliance assurance for financial services company.

CompliNet : 26 February, 2008  (Application Story)
Edward Jones will ensure the management of its IT compliance and policies using Complinet Policy Manager.
Complinet has announced that financial services firm Edward Jones has selected Complinet Policy Manager for use by its compliance functions in the United States, Canada and the United Kingdom.

Designed specifically for the compliance professionals and compliance departments that want an alternative to dated paper-based approaches to managing policy manuals, Complinet Policy Manager is a web-based solution which tracks external rule changes across the globe and dynamically links them to internal policies.

It was selected by Edward Jones as a solution that would allow synchronisation of its operations' compliance manuals in different parts of the world. Complinet Policy Manager will provide Edward Jones' global compliance team access to consistent information and will increase the speed of policy adoption and minimise duplicated effort.

Complinet Policy Manager tracks rules and regulations across the globe and actively maintains a 'live' relationship between these external regulatory changes and the organisations' internal corporate policies that they affect. The business is assured that its policies are updated as, or even before, the changes come into force in the markets and geographies in which it operates.

With built-in workflow, Complinet Policy Manager ensures that any changes are effectively communicated within the organisation, with updates sent to all relevant individuals including compliance professionals and legal teams.

Pam Cavness, principal responsible for compliance at Edward Jones said: "We chose Complinet for its expertise in resolving global regulatory compliance challenges, and the proven track record it has with some of the world's largest and most-respected financial services firms. The days of the dust-laden policy manuals have gone, and compliance professionals need to deploy workflow-based technologies such as Policy Manager to track and connect the vast number of external regulations with their internal policies."

Paul Johns, chief marketing officer at Complinet said: "Over the past year, the financial sector has been subjected to extensive regulatory developments and preparing for compliance over the year ahead should be a priority for businesses. Edward Jones is a very reputable brokerage firm that is extremely conscientious in its approach to customer service. This best practice is also reflected in the company's streamlining of its global regulatory compliance mechanisms. We welcome Edward Jones as a new customer and we are very pleased to be able to assist the company with its global compliance objectives."
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