Compliance Management

Track and Manage Compliance Exceptions

Managing compliance exceptions can be tedious, require constant communication between various people and departments, and become a risk to the institution when not managed properly. Most banks and credit unions have invested in software to manage loan document exceptions because of the financial and regulatory risk. StaffPro's Compliance Management module is not only capable of servicing loan document exceptions, but any kind of exception: loan policy, deposit operations, GL, branch audits, investments, insurance, and so on.


Automate Compliance Processes

StaffPro's Compliance Management module includes all the functions needed to create a comprehensive exception management solution.

  • Administrative functions to define exceptions, documents, actions, etc.
  • Functions for employees who generate, assign, and manage exceptions
  • Functions for assignees to make updates, add notes, upload documents, fill in forms, etc.
  • Tracking with the ability to define multiple milestones for each exception, and escalation emails to designated groups.
  • Ad hoc and pre-defined reports.
  • Granular security control of all exception classes and functions.
  • Integrate exception management with forms and Process Automation to create end-to-end solutions.





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