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Proactive Compliance Assurance

Employee regulatory compliance is difficult to enforce and requires continuous efforts, employees find regulatory information hard to understand and increasingly time consuming to learn, as it is constantly subject to change.

A Compliance Officer’s top priority is to prevent regulatory risks, but when faced with employee mistakes the compliance effort becomes invested in ever increasing training efforts and resorts to handling risks only after they have already materialized.    

Unfortunately, compliance officers cannot personally advise every employee each and every second, constantly overseeing individual actions as they are being made in order to prevent a violation before it occurs.

Risks need to be foreseen and prevented in real time – ClearMash’s Proactive Compliance Assurance allows you to ensure employee compliance to regulation with minimal efforts and increase compliance awareness for every employee, everywhere and in real time.

Proactive Compliance Assurance
First line of defense

Handling compliance violations after they materialize is risky, costly and may have major impacts on your organization. As a compliance officer you should do whatever you can to prevent compliance violations before they occur.

But how you can stop violations from happening?

ClearMash’s Proactive Compliance Assurance platform can do that for you!
By identifying an employee's working process in real time and on any system that they are currently working on – the Proactive Compliance Assurance platform matches employee actions with the relevant compliance rules and can alert or even stop the employee from violating compliance orders.  

Manage compliance back office activities

Arrange compliance related tasks, schedule recurrent audit checks, publish incidents and lessons learned, set policies and manage any activity related to the compliance department from one place.

Guide employees in real-time

Operating by regulation and compliance orders is hard for most employees. Legal language, low awareness, multitasking and work pressure all lead to an unsatisfactory level of compliance.

Using ClearMash’s Proactive Compliance Assurance platform you can add guidance information on top of every screen and even on specific actions that employees perform within a particular screen. Regardless of your operational systems, ClearMash’s Proactive Compliance Assurance can read the screen in real time and automatically push compliance related guidance, guiding the employee step by step until the successful completion of the process is achieved.

Measure compliance implementation

To measure employee compliance you need to assess employee knowledge regarding compliance related process, you need to track employee actions and analyze them, summing it all up in order to know if your compliance actions are actually working.

ClearMash’s Proactive Compliance Assurance provides a set of tools to handle this challenge by analyzing employee actions and identifying compliance violations, detecting inefficient work processes, and failure to use regulatory information in required situations.

You can also create quizzes, tests and interactive lessons to measure your employees' understanding regarding compliance on specific topics.

Produce evidence

When investigating a compliance violation you need evidence. You need to be sure of what exactly has occurred, when and by whom. But besides knowing the dry fact of what was done wrong, how can you know exactly what the employee was doing before the violation? What actions lead to this mistake, and was the employee even aware of the related regulation?

ClearMash’s Proactive Compliance Assurance can record an employee's actions and show you the “journey” of that employee when the violation occurred. You can see if the employee read regulation and compliance alerts before the violation, what other processes the employee was working on at the same time, and more information designed to understand the root cause of the violation.

You can even add an active alert to employees before starting a compliance related process, ClearMash will identify the process and popup an alert to the user to ensure full awareness during the process.

Ensure employee awareness to compliance

Compliance violations by employees often result from a lack of awareness to existing regulatory information or of a recent change to that information. Increasing employee’s awareness is not easy, let’s face it – compliance is not the first thing that a common employee think about when preforming a task.

Periodical training, emails and talks are good but they do not make the employee aware in real time, this is where ClearMash can help. ClearMash’s Proactive Compliance Assurance popups relevant regulation and compliance information to the employee while they start performing a task on any other system, using this popup the system ensures that the employee is fully aware of the regulatory aspects regarding the action that they are about to perform.

First time right!

New employees are great, they bring new ideas and help grow the organization. But new employees often make compliance related mistakes. After training, a new employee needs to remember a lot of new information and compliance is just one of them. As a compliance officer you need to address this problem and ClearMash’s is here to help you.

Using ClearMash’s Proactive Compliance Assurance you can popup compliance and regulation related information to new employees while they perform tasks for the first time. Reminding them of their training, suggesting relevant reading materials and guiding them step by step to ensure every employee is right on the first time.

Automatic compliance actions recommendations

Using ClearMash’s analytics module you will be able to get recommendations to perform specific compliance operations like training employees that are not compliance aware, reviewing compliance information that is not well understood, performing audit checks, and more.

Manage risks

Managing risks based on risk assessments and auditing is important but it is just not enough. You do not really know every potential risk and every minor violation since you cannot oversee every employee all the time.

In ClearMash’s Proactive Compliance Assurance platform you will find a collection of predefined templates, workflows, analytics and best practices to help you manage and assess your risk.

Obtain a risk score that is based on your assessments results and on the data that ClearMash automatically collects from actual employee behavior, allow users to send risks alerts, manage risk priorities and workflows, and more.

Get real time alerts

When a compliance violation does occur, you need to know, and fast. ClearMash identifies employee compliance violations in real time as they are being committed, and sends you alerts or even stop employees from continuing the violating action. You can define alerts for specific actions, employees, topics, etc.

Industry Compliance

Get a common framework of templates, workflows, analytics and best practices for cross-industry and industry specific regulations including:

  • SOX
  • OSHA
  • FDIC
  • NCUA
  • CFPB
  • OCC
  • OTS
  • GLBA
  • ISO
  • Dodd Frank
  • MiFID / MiFID 2
  • Data retention laws
  • and others
Improve regulatory intelligence

Using ClearMash’s Proactive Compliance Assurance combined with ClearMash’s Corporate & Financial Regulation Intelligence you can ensure employees' full compliance to regulation with minimal efforts and costs, reduce risks and increase compliance awareness for every employee, everywhere and in real time!

Both solutions are built to work together to give you a complete solution for regulation and compliance management.

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