Compliance-Specific Workflow Management

Skematic delivers the first compliance-specific workflow management solution that unites the people, process, and systems across firm-wide compliance.

Built on modern technology, Skematic’s flexible system accommodates everything from out-of-the box configurations for small teams to fully customizable solutions for managing a global compliance footprint across business lines and geographies. By integrating the following modules into a connected framework, teams can anchor their day-to-day actions to an environment that provides transparency and context to all stakeholders.

Policies & Documents

  • Risk-based policy mapping and controls framework
  • Link and evidence the relationships between regulations, policies, and applied practices
  • Version control
  • Advanced document library (eliminate the need for internal shares/S Drives)

Activities & Forms

  • Map out responsibilities and controls across the full scope of your compliance program
  • Real-time collaboration with customizable topics, dependencies, forms, and fields
  • Intuitive user interface
  • Responsive framework details the supervisory process based on user inputs

Case Management

  • Customizable remediation framework for issues identified during the controls process
  • Case creation from in-system workflows or third-party tools (e.g., personal trading, portfolio compliance, and communications surveillance systems)
  • Captures and consolidates remediation across 100% of the compliance program, regardless of source

Compliance Log & Reporting

  • The expected end of the workflow, the Compliance Log, offers a single location for all required items of record
  • Streamline the annual review process and leverage reports that clearly demonstrate the complete status of your program
  • Provides demonstrable evidence and safeguards processes for future success
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