Compliance risks are some of the most important risks facing financial institutions today. As experienced practitioners know, technology alone cannot replace the professional judgment that compliance professionals must exercise on a daily basis to manage compliance risks. With Promontory Compliance Solutions, however, even the most experienced professional can achieve better compliance risk management through technology.


Purpose-built by compliance professionals for compliance professionals.

Our technology products are built specifically to meet the needs of financial institutions and have been field-tested by institutions facing pressing compliance issues. In addition, our tools and methodologies have been subjected to scrutiny by regulators, and incorporate their input.

Increasingly, regulators are demanding an enterprise-wide approach to compliance risk management. Our tools help financial institutions meet that demand with:

• Enterprise-wide dashboards enable compliance professionals, senior management, and boards of directors to see, at-a-glance, the state of compliance risk management in their institutions. The web-based user-interface allows users to drill down and see the detail underlying the dashboard.


• Flexible reporting enables compliance professionals to generate reports for a variety of audiences from the board of directors, who need to see consolidated reporting of compliance risks across the entire enterprise, to business managers, who may need to see only the compliance risks for the business they manage. Users can customize the reports and save them for future use.


• Robust security and audit trails easy-to-use administrative screens allow senior compliance professionals to define user-roles so that users can see, input, and edit only the data for which they are responsible. The tools maintain an audit trail, with each change automatically signed and time-stamped.