Via a new online interface and design to simplify the user experience, the enhancements allow:
• Additional Exception reporting
• Better Workflow management
• Messaging service to brokers via Prospector to assist in work flow management (to be launched shortly)
Compliance Shield was launched as the only integrated compliance system offering brokers automated point of sale capture of compliance documents, date and time stamped documentation [a digital audit trail of sales activity] and automatic transmission to the secure, on-line database. Brokers or their compliance officers have secure, remote access to this data and a range of audit and reporting tools.
The compliance warehouse database has been extended to include:
• Case archive functionality
• Pass/fail review and audit functionality
• Ability to risk rate advisers
Compliance Shield also now enables advisers to search for, view and print all compliance evidence captured at the point of sale and is stored within the compliance warehouse. This allows them to easily view a summary of the customer case and adviser details.
Trigold sales director David Thompson unveiled the enhancements saying: “Over 10 million documents have now been stored on Compliance Shield and these enhancements mean that the data, and access to the data, is even more extensive and sophisticated. In challenging market conditions, technology plays an ever increasing role in supporting mortgage brokers and helping to protect their businesses.”
