Financial Services compliance management | Riskophia
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Financial services and fintech

Credit unions, lenders, payment companies, money services businesses and fintech startups carry AML, privacy, consumer-protection and outsourcing obligations, and a repeat finding can cost a licence. Riskophia maps obligations to controls, keeps policies attested and makes evidence of ongoing compliance easy to show a regulator or a banking partner.

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The challenge

What compliance looks like in financial services.

Programme effectiveness

Regulators expect a documented compliance regime, periodic effectiveness reviews and evidence that findings were fixed.

Partner due diligence

Banks and payment partners ask the same questions in different formats and expect answers from the record.

Third-party risk

Outsourcing and vendor obligations with renewal dates and attestation requirements.

Lean teams

Fintechs scale faster than their compliance functions.

Regulatory environment

Obligations Riskophia is configured for.

Representative regulations, standards and programs. Your register is built from your own services, sites and jurisdictions.

PCMLTFA and FINTRACPIPEDAOSFI guidelinesProvincial consumer protectionSOC 2ISO 27001
Use cases

Where financial services teams start.

AML programme governance

Compliance regime requirements, policy reviews, training records and effectiveness review actions tracked together.

Third-party risk

Vendor agreements, attestations and reviews tracked as obligations with renewal dates.

Partner due diligence

An evidence package for banks and partners who ask how compliance is managed.

Security awareness

Phishing simulation and training records for the people who handle client funds and data.

Platform capabilities

Modules that apply.

Regulatory IntelligenceAvailableRiskophia identifies the regulations that apply to you from your industry, services and locations, and keeps the library current as rules change.See module →Compliance ManagementAvailableEvery requirement becomes a checklist item with status, owner, due date and linked evidence.See module →Policy ManagementAvailableVersion history, approval and effective dates, and a single current version for every policy.See module →Audit and Action ManagementComing soonSeverity, root cause, source and the requirement each finding relates to.See module →Phishing SimulationComing soonChoose a template, audience and schedule; send in waves to avoid tipping off staff.See module →Training and Workforce ComplianceAvailableTraining matrices by role, site and department, included with a Learnophia subscription.See module →

See Riskophia configured for financial services.

Book a 30-minute demo led by a compliance professional, or talk to an expert about your sector.

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