Employee Compliance Software for Financial Services Firms
Employee Compliance Software for Financial Services Firms
Manage forms, attestations, outside account and employee compliance tasks in a platform created by compliance officers.
Manage forms, attestations, outside account and employee compliance tasks in a platform created by compliance officers.
Assign forms and attestations with just a few clicks
Track completion and send reminders automatically
Centralize documents in a single place
Features
Features to Simplify Employee Compliance
With tools designed to streamline workflows, Regly helps keep your compliance tasks organized and efficient.
Outside Accounts and Personal Trading
Outside Accounts and Personal Trading
Track employee trading activity and outside financial accounts to help meet compliance requirements.
Track employee trading activity and outside financial accounts to help meet compliance requirements.
Mass Assignments
Mass Assignments
Send forms and attestations to multiple employees at once, saving time and effort.
Send forms and attestations to multiple employees at once, saving time and effort.
Form Tracking
Form Tracking
Track form completions and identify outstanding submissions in real time.
Track form completions and identify outstanding submissions in real time.
AI Form Builder
AI Form Builder
Describe your form in plain language and Regly’s AI-assisted builder will draft a suggested template for your review.
Describe your form in plain language and Regly’s AI-assisted builder will draft a suggested template for your review.
How It Works
Managing Employee Compliance in Four Easy Steps
Managing Employee Compliance in Four Easy Steps
Managing Employee Compliance in Four Easy Steps
See how our platform simplifies employee compliance workflows step-by-step.
See how our platform simplifies employee compliance workflows step-by-step.
See how our platform simplifies employee compliance workflows step-by-step.
Step 1
Assign Forms and Attestations
Quickly distribute compliance forms to individuals or teams with just a few clicks.
Step 1
Assign Forms and Attestations
Quickly distribute compliance forms to individuals or teams with just a few clicks.
Step 1
Assign Forms and Attestations
Quickly distribute compliance forms to individuals or teams with just a few clicks.
Step 2
Track Progress in Real Time
Monitor which forms have been completed and identify outstanding tasks easily.
Step 2
Track Progress in Real Time
Monitor which forms have been completed and identify outstanding tasks easily.
Step 2
Track Progress in Real Time
Monitor which forms have been completed and identify outstanding tasks easily.
Step 3
Coming Soon
Automate Reminders
Set automated reminders to follow up on incomplete submissions without manual effort.
Step 3
Coming Soon
Automate Reminders
Set automated reminders to follow up on incomplete submissions without manual effort.
Step 3
Coming Soon
Automate Reminders
Set automated reminders to follow up on incomplete submissions without manual effort.
Step 4
Store and Access Documents
Keep compliance documents organized and accessible for audits or reviews.
Step 4
Store and Access Documents
Keep compliance documents organized and accessible for audits or reviews.
Step 4
Store and Access Documents
Keep compliance documents organized and accessible for audits or reviews.
Industries
Flexible Solutions for All Industries
No matter your industry, our tools help you stay organized and compliant.
Financial services
Fintechs
Crypto/Web3
Broker-Dealers
P2P market
E-commerce
Crowdfunding
Forex Brokers
Lenders
Investment Advisors
Money Transmitters
Financial services
Fintechs
Crypto/Web3
Broker-Dealers
P2P market
E-commerce
Crowdfunding
Forex Brokers
Lenders
Investment Advisors
Money Transmitters
Financial services
Fintechs
Crypto/Web3
Broker-Dealers
P2P market
E-commerce
Crowdfunding
Forex Brokers
Lenders
Investment Advisors
Money Transmitters
FAQ
Common Questions About Employee Compliance Tools
Discover more about employee compliance software and its key features.
What is employee compliance software?
Employee compliance software helps businesses manage forms, attestations, and other compliance tasks for employees, keeping everything tracked and organized.
What is employee compliance software?
Employee compliance software helps businesses manage forms, attestations, and other compliance tasks for employees, keeping everything tracked and organized.
What is employee compliance software?
Employee compliance software helps businesses manage forms, attestations, and other compliance tasks for employees, keeping everything tracked and organized.
Who should use employee compliance software?
Who should use employee compliance software?
Who should use employee compliance software?
How does employee compliance software work?
How does employee compliance software work?
How does employee compliance software work?
What are the benefits of employee compliance software?
What are the benefits of employee compliance software?
What are the benefits of employee compliance software?
What features should I look for in employee compliance software?
What features should I look for in employee compliance software?
What features should I look for in employee compliance software?
Schedule a Demo Today
Learn how Regly’s tools help you manage employee compliance tasks.
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