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    Financial Services

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    Home » Financial Services

    The Challenge

    The financial service industry continues to address regulatory reform, complex risk management requirements, threats of data breach, implementation of cost-effective technologies and financial reporting requirements that affect the entire business.

    To best serve customers, financial institutions must evaluate and control risks associated with compliance, fraud, cybersecurity, and much more. Beyond compliance, banks must be on the lookout for any potential loss events that could harm customers. Faced with these challenges, financial institutions are being forced to review their business strategies all over the world.

    Financial Services Solution

    SoftExpert Excellence Suite lowers the cost of regulatory compliance and helps companies in the financial industry maximize success, increase productivity, reduce risk and adhere to various global regulations.

    The solution provides a common framework and an integrated approach to manage multiple aspects of governance, risk, compliance and audits. It can be easily deployed at all kinds of financial institutions, ranging from large global organizations to mid-tier financial firms, including central banks, federal financial agencies, credit unions, lenders, asset management firms, retail banks, broker-dealer firms, investment banks and stock exchanges.

    SoftExpert Excellence Suite enables companies to continuously improve operations by adhering to regulations, such as SOX, Basel II and COSO, as well as offering support for different areas on a single platform including: Anti-Money Laundering, Fraud Management, Operational Risk Management, Performance Management and much more.

    Read More
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    SoftExpert Suite simplifies and standardizes excellence and compliance management processes by providing a software platform with a central point of access to all up-to-date process documentation, key performance indicators, related documentation such as policies, templates, procedures and task related applications, as well as an online platform for registering suggestions, risks, complications and initiatives.

    • Corporate document management

      Corporate document management

    • Risk assessment and monitoring

      Risk assessment and monitoring

    • Testing of controls

      Testing of controls

    • Audit of internal or external requirements

      Audit of internal or external requirements

    • Record of operational incidents and loss events

      Record of operational incidents and loss events

    • Corporate performance management

      Corporate performance management

    Main Benefits

    Improve risk and governance maturity through an integrated and flexible program.

    Establish a unified risk taxonomy and nomenclature through an integrated risk framework.

    Simplify regulatory compliance, using a single system to manage compliance requirements and audits.

    Improve execution and monitoring of operational controls.

    Reduce time to revenue by automating manual processes and eliminating lag times for any area that requires workflow, process control and collaboration.

    Eliminate paper through document management, get maximum benefits from your unstructured data, and work more effectively with regulators.

    Ensure strategic alignment, better manage the portfolio and maximize the project’s ROI.

    Enhance productivity and efficiency across the value chain.

    Facilitate greater communication and collaboration on tasks across business units and locations.

    Make better informed business decisions by consulting the most up-to-date information on dynamic dashboards in real time.

    Simplify all financial reporting responsibilities.

    Brochure / Demo More Information Request a Live Demo
    Solution Overview

    Solution Overview

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    Know some success stories

    More Resources

    Featured Resources

    Ebook

    6 Key Tools for Corporate Governance, Risk and Compliance (GRC)

    Read this eBook to find out which are the key tools for achieving GRC excellence.
    Learn more
    DOWNLOAD

    White Paper

    Best Practices in risk-based internal auditing

    Read this article and improve your knowledge about the current best practices in Risk-Based Internal Auditing.
    Learn more
    DOWNLOAD

    Ebook

    How to promote digital transformation in the financial services industry

    Read this eBook to find out the eight pillars to help financial services companies overcome barriers to digital transformation in their financial management.
    Learn more
    DOWNLOAD
    More Resources

    See also

    SOX
    SoftExpert Risk
    SoftExpert Excellence Suite
    SoftExpert GRC
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    SoftExpert
    • Products
      • By business needs
        • Overview
        • Business Process Management – BPM
        • Corporate Performance Management – CPM
        • Enterprise Asset Management – EAM
        • Enterprise Content Management – ECM
        • Enterprise Quality Management – EQM
        • Enterprise Risk Management – ERM
        • Environmental, Social and Corporate Governance Management – ESG
        • Governance, Risk and Compliance Management – GRC
        • Human Development Management – HDM
        • Innovation and Change Management – ICM
        • Enterprise Service Management – ESM
        • Product Lifecycle Management – PLM
        • Project and Portfolio Management – PPM
        • Supplier Lifecycle Management – SLM
      • By industry
        • Overview
        • Aerospace and Defense
        • Agribusiness
        • Architecture, Engineering & Construction
        • Automotive
        • Chemicals
        • Consumer Goods
        • Education
        • Energy & Utilities
        • Financial Services
        • Food & Beverage
        • Healthcare
        • High-tech
        • Medical Devices
        • Mining & Metals
        • Pharmaceuticals & Biotechnology
        • Public Sector & Associations
        • Retail
        • Transportation & Logistics
      • By regulation
        • Overview
        • AS9100
        • BPMN
        • BSC
        • CBOK
        • CMMI
        • COBIT
        • COSO
        • FDA 21 CFR Part 11
        • FDA 21 CFR Part 820
        • FSSC 22000
        • GDPR
        • IATF 16949
        • ISO 10015
        • ISO 13485
        • ISO 14000
        • ISO 15189
        • ISO 19011
        • ISO 20000
        • ISO 22000
        • ISO 22301
        • ISO 26000
        • ISO 27001
        • ISO 31000
        • ISO 37001
        • ISO 45001
        • ISO 50001
        • ISO 55000
        • ISO 9000
        • ISO/IEC 17025
        • ISO/TS 14253
        • ITIL
        • OHSAS 18000
        • PMBOK
        • Six Sigma
        • SOX
      • All products
        • Overview
        • Action Plan
        • Analytics
        • APQP-PPAP
        • Archive
        • Asset
        • Audit
        • Calibration
        • Capture
        • Competence
        • Customer
        • Document
        • FMEA
        • Form
        • Incident
        • Inspection
        • Kanban
        • Knowledge Base
        • Maintenance
        • Meeting
        • MSA
        • PDM
        • Performance
        • Portfolio
        • Problem
        • Process
        • Project
        • Protocol
        • Request
        • Requirement
        • Risk
        • SPC
        • Storeroom
        • Supply
        • Supplier
        • Survey
        • Time Control
        • Training
        • Workflow
      • SoftExpert Excellence Suite
      • SoftExpert Excellence Suite
    • Services
      • Overview
      • Training
      • Cloud Computing
      • Consulting and Implementation
      • Customization Services
      • Integration
      • Performance Optimization
      • Service Hours Pack
      • Support
      • Validation
    • Company
      • About us
      • Contact us
      • Business Partners
        • Find a Partner
        • Strategic alliances
        • Become a Partner
        • Qualification Form
      • Careers
      • Channel of Reports
      • Events
    • Customers
      • Overview
      • Success cases
      • Testimonials
      • Video Case
    • Resources
    • News
    • Blog

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