• Intapp Employee Compliance

    Ensure compliance with personal independence and financial interest policies and regulations

Intapp Employee Compliance provides a single, intuitive destination for compliance teams and professionals alike to disclose and monitor investments, trade activity, gifts, outside business activities, helping the firm ensure and demonstrate compliance.

Built to help simplify compliance with personal independence and financial interest policies and regulations

Increasing PCAOB scrutiny means accounting firms need to consider how to automate a burdensome, manual process for compliance teams and professionals.

Intapp Employee Compliance offers firms a modern, purpose-built solution for streamlining personal independence processes and meeting regulators’ quality control requirements.

Intapp Employee Compliance software benefits

Verify and mitigate

Protect your firm by ensuring compliance with policies and regulations relating to employee financial interests.

Boost employee confidence

Reduce employees’ concerns of noncompliance when trading with timely approvals aligned to firm policies.

Increase automation and accuracy

Reduce opportunities for human error while eliminating time-consuming data entry and analysis.

Streamline policy alignment

Automatically notify and track professionals’ progress when actions are required.

Ensure and demonstrate compliance

Seamlessly review, update, and complete required documentation, as well as audit compliance decisions and actions.

Configurable workflows and personalized dashboards

Your firm can configure Intapp Employee Compliance to meet your unique requirements and policies, including restricted lists and workflows.

Intapp Employee Compliance software features

Disclosure automation

Simplify disclosure of investments in public and private companies, outside business activities, gifts and entertainment, and other material concerns

Brokerage data feeds

Connect brokerage accounts, then leverage managed brokerage feed setup and maintenance to save time and reduce errors

Automated trade pre-clearance

Streamline employee requests, approvals, and executions of investment activity using your firm’s restricted entity list

Attestation and document management

Complete required attestation, firm documents, and disclosures — all in a single cloud-based application

Covered parties access

Provide a hub for covered parties — such as spouses or financial planners — to initiate, track, and receive approval of personal trade requests

Personalized reporting

Streamline periodic or ad hoc reports and audits by filtering and configuring data as broadly or narrowly as needed

Request a follow-up from our team

Contact our team of experienced and skilled implementation specialists to get started, or request to schedule a demo of our employee compliance solution.

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