One-Compliance

Uzi Rosha founded One-Compliance with the purpose of helping his fellow #ComplianceOfficers streamline record keeping, anticipate risks and manage a thorough compliance program. For more about Uzi, visit: https://lnkd.in/gu3bt5Mx

Are you a #ChiefComplianceOfficer? One-Compliance offers unprecedented command and control over your #compliance programs. It does your compliance work. You can tell it exactly how you want your compliance program to run, or you can customize and deploy any of the platform’s built-in best practices. Powered by AI and machine learning, it constantly scans all corners of your business for risk—alerting your team when an issue needs your attention, and leaving you alone when it doesn’t. Best of all, One-Compliance becomes smarter the more you use it. Learn more at: https://lnkd.in/gXzsjnFh

As a #ComplianceOfficer, you are responsible for managing reconciliation of trades. Using One-Compliance's advanced logic, the system automatically matches pre-clearance requests to broker transactions for automated identification of trades that are in #compliance or in violation. The #ComplianceOfficer receives recommended resolutions where discrepancies are identified. Learn more at: https://lnkd.in/gXzsjnFh

One-Compliance taps into data compiled from SEC rules, no-action letters, disciplinary actions. Its #AI learning algorithms benchmark against peers with similar AUM, employees, asset classes and other attributes to provide you a fuller picture. Learn more at: https://lnkd.in/gXzsjnFh #ChiefComplianceOfficer #RegTech #Compliance

One-Compliance retains all compliance records and activities in a central location for easy access and comprehensive, up-to-date risk scanning by your #Compliance team. Eliminate the antiquated and manual record-keeping that slows you down. Learn more at: https://lnkd.in/gXzsjnFh

One-Compliance serves as a vibrant reference center for core tenets of your policy so employees always have it front-and-center, including personal trading, gifts and entertainment, marketing, political contributions and more. A centralized, up-to-date library of #compliance documents that are accessible to employees at any time, helps ensure employees always access the latest versions and eliminates uncertainty to ensure “a single version of the truth.” #RegTech #TechBreakThrough #ComplianceOfficer Learn more at: https://lnkd.in/gXzsjnFh

U.S. #ElectionDay is quickly approaching. Just a reminder that One-Compliance continuously scans a massive library of public databases to validate actual political contributions versus reported contributions. Our customers receive an alert and action plan when a discrepancy is identified. #PoliticalContributions #ComplianceTraining #RegTech #TechBreakThrough #ComplianceOfficer Learn more at: https://lnkd.in/gXzsjnFh

One-Compliance allows for pre-clearance of employee #PoliticalDonations and allows #InvestmentManagers to customize restricted lists to ensure all monitoring is dynamic and responsive to current events. The platform also provides a reporting tool to populate annual compliance reports for regulators with political contribution activity.   These features seamlessly integrate with One-Compliance's other compliance management capabilities across personal trading, marketing, gifts and entertainment, certifications and compliance training.   #PoliticalContributions #ComplianceTraining #RegTech #TechBreakThrough #ComplianceOfficer Learn more at: https://lnkd.in/gXzsjnFh

Ready to retire your spreadsheets? One-Compliance automatically maintains real-time, always-up-to-date logs of all #compliance related information. This includes all violations, mitigations, certifications, employee trainings, conflicts of interest and more. Each datapoint in your logs becomes live, actionable intelligence utilized by our compliance and conflicts-of-interest engine. Learn more at: https://lnkd.in/gXzsjnFh

The #ComplianceOfficer at a financial investment firm is required to manage restricted lists of states, political offices and politicians to prevent contributions that go against your policies. One-Compliance creates and enforces these requirements and automatically populates your annual compliance report with findings from political contributions testing. #PoliticalContributions #ComplianceTraining #RegTech #TechBreakThrough #ComplianceOfficer Learn more at: