Compliance as a strategic driver in your practice Feature image

atWORK recently celebrated receiving our ISO 27001 recertification certificate – the global gold standard for information security. As a member of our community of advisors, this means you can rest assured that your client data is 100% secure.

One of the areas of financial planning where this certification is extremely valuable is Compliance. The General Code of Conduct published under the FAIS Act stipulates that all advisors must act with care and diligence when dealing with clients’ personal information. This means that information security is not just a nice-to-have: it is a regulatory requirement. With that in mind let’s look at the Compliance Dashboard in atWORK.

Compliance is your friend

Compliance is about making proactive and strategic decisions that minimise risk and enhance consumers’ outcomes. And atWORK can help you to streamline the process. Our handy compliance tool will free up your time so you can focus on business development and building client relationships.

For advisors

When you use the compliance function in a client’s profile on atWORK, you must input the investment variables so that the compliance officer can check how appropriate your decisions are. This adds an excellent extra layer of checking, and it also assists in developing ‘house views’ which streamline the advice and business processes.

For compliance officers

Our Compliance function was developed with compliance officers in mind. Here are our top reasons to arrange access for your officer today.

  • Remote auditing at the click of a button
  • Review the status of a case and make notes within the system (go paperless)
  • Quick access to compliance documents (store documents of up to 10mb online)
  • Compliance officers get free access to atWORK

Our Compliance function at a glance

Join our resident expert Cas Dippenaar as he shows us how to use the Compliance Dashboard in atWORK.

What our clients say

Here’s a quick word from Louise Pardy, from L Pardy and Associates. Louise has been a client with atWORK since 2012…

“As a compliance practice, we have used atWORK as our client relationship tool for several years. The system allows our business to keep track of all work carried out for clients. The software is a handy reminder for all FSCA deadlines, a checklist when documents need to be submitted to the regulators, and a tracking system for profile changes. atWORK makes life easier in our offices. ” – Louise Pardy

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