Intapp Employee Compliance product updates  

Vendor due diligence

Your firm can take vendor due diligence in house, saving your firm money, with the ability to collect and store required vendor documentation. Vendors can submit information and attachments directly into Intapp Employee Compliance, making it easier for teams to review and ensure all information has been collected, creating an audit trail of due diligence and better enabling your firm to comply with vendor due diligence rules and standards. 

Case management and collaboration

Intapp Employee Compliance now offers the ability to configure workflows for opening, managing, and tracking compliance investigations and audits.  

You can also assign tasks, procedures, and questions directly to individuals within your organization, streamlining your firm’s routine compliance work. 

As a result of this change: 

• Team members can go directly to the right form fields to complete required information  
• Employees can work in a document at the same time  
• Compliance officers can feel confident that employees can complete and see only the information that pertains to them  
• Communications are streamlined, reducing back-and-forth messaging and increasing efficiency 

Compliance calendar 

Users can better manage their daily, weekly, and monthly compliance tasks with a configurable calendar. The software’s calendar enables users to create, edit, delete, and set reminders for attestations, case management, daily compliance tasks, and more.

Client self-service 

With the latest update, users can now: 

• Configure their homepage by moving layouts and widgets to prioritize the information most relevant to them  
• Directly edit forms 
• Duplicate attestation documents 
• Change font size, button text, and sidebar menu items 

Your users won’t have to wait for the external services team to make changes to the client environment anymore. Unlike other solutions, Intapp Employee Compliance offers truly configurable self-service. 

Volatility alerts

Intapp Employee Compliance’s new volatility alerts will notify your compliance team when an employee has a stock that’s on a watch or restricted list, or if a recently traded security experiences volatility. This gives your compliance team real-time visibility so they can proactively identify potential personal trading violations and bad actors.  

For example, if a news article causes stock prices to rise, the system will alert your compliance team to recent trading of that company by employees — so your compliance team can confirm whether the trade was compliant with firm policies and regulations. 

Integration with Intapp Conflicts 

Intapp Conflicts clients can now view all standard disclosure types — including private investments, business affiliations, and political donations — from Intapp Employee Compliance within Intapp Conflicts. This eliminates the need to switch between the two solutions.  

SEC rule 17a-4 compliance 

Intapp Employee Compliance is compliant with U.S. Securities and Exchange Commission rule 17a-4. The software has enhanced back-end backup and audit capabilities to comply with the rule.

You can see these capabilities and other new features by scheduling a demo.