Employee-GRC

Employee-GRC helps ensure Employees are notified of their Governance, Risk & Compliance (GRC) obligations when they first enter an organization and periodically thereafter. When there are changes to GRC procedures or rules, all relevant Employees can be notified, training examples provided and the changes acknowledged.

With Employee-GRC you can automate your employees' control environment including the reporting, management and analysis of employee:

• Code of Conduct/Ethics

  Ensure employees acknowledge their organization's code of conduct/ethics and confirm their compliance

• Attestations

  Require employees to certify their disclosures, including personal trades and holdings, broker accounts, conflicts of interest, external roles and gifts & entertainment given and received.
  
  

  • Personal Share Trading

    Monitor and manage employee's personal dealing requests and executions in accordance with regulatory rules and management policies.

  • Conflicts of Interest

    Monitor, manage and report the conflicts of interest that employees have with other parties, including their employer and clients.

  • External Roles/Interests

    Allow employees to request permission to undertake work outside of their paid employment, e.g. voluntary, political, community or paid work or speaking to the media.

  • Gifts and Entertainment

    Ensure employees comply with both regulatory rules (FCPA, FINRA, UK Bribery Act etc.) and management policies regarding the nature, value and recipients of gifts and entertainment.

• Issues

  Employees may be requested to disclose any information the employer deems necessary.