Stone Arch
Compliance Manager – Enable Sustainable Compliance
Corporations are under increased pressure to comply with regulatory and corporate governance mandates, including the Sarbanes-Oxley (SOx) Act (sections 302 and 404) and Basel II. It is not enough to document controls and policies. Today’s corporations are required to prove sustainable compliance.

Arrow Identify & Create Certification Tests: Once controls are defined, companies need to certify and attest that they are adequate and are being followed. The Compliance Manager includes flexible, electronic certification forms that enable highly accurate testing. Our software allows you to create tests for any of your controls and electronically distribute them via e-mail to the people responsible for performing the tests.

Arrow Alerts and Notifications: The Compliance Manager is integrated with StoneArch’s workflow tools so you can automate the entire testing process. The system distributes tests via e-mail to the people responsible at pre-defined dates and times. Late responders are sent reminders and configurable escalation controls allow executives to be notified about unresponsive or problem areas. Parameters can also be defined to alert managers in the event of test failures or remediation delays.

Arrow Track and Report Results: The Compliance Manager is integrated with the Report Manager. This allows you to automatically track testing results and give visibility to managers and executives so they know what the status is at any time. Drill-down capabilities allow them to analyze results by department, division, geography or even manager. When issues arise, StoneArch gives you the ability to review pertinent information about open issues so you can understand what is being done to resolve them. This prevents things from falling through the cracks.

Arrow Automatic Issue & Remediation Tracking: Whenever a test fails, the Compliance Manager can automatically generate an open issue form to document the issue and create an action plan. Issues remain open until closed by an authorized compliance resources allowing them to attach documentation, providing proof that they have been resolved.

Arrow Comprehensive Audit Trails: The Compliance Manager is completely integrated with our audit trail functionality. Every activity including testing, issues and remediation activities are permanently tracked and recorded for future analysis or documentation.

  Customer Feedback

“Coordinating our certification testing was a complete pain.  We used to use Outlook and had to manually create and track all of the tests and results and then manually follow-up with certification failures.  With StoneArch, all of this is automated – certification tests are automatically sent-out and responses are electronically recorded.  My life is so much easier with StoneArch."

       Compliance Manager, Fortune 500 Agriculture Business

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