TechnologyEdward Jones beefs up compliance with Complinet

Edward Jones beefs up compliance with Complinet

Private investor brokerage rolls out new compliance software for global operations

Financial services firm Edward Jones has rolled out Complinet Policy Manager
for use by its compliance functions in the United States, Canada and the United
Kingdom.

Complinet Policy Manager is a web-based solution which tracks external rule
changes across the globe links them to internal policies. It was selected by
Edward Jones to synchronise of its operations’ compliance manuals in different
parts of the world.

‘The days of the dust-laden policy manuals have gone, and compliance
professionals need to deploy workflow-based technologies to track and connect
external regulations with their internal policies,’ said Pam Cavness, who is
responsible for compliance at Edward Jones, which focuses on providing financial
services to individual investors

Paul Johns, chief marketing officer at Complinet said: ‘Over the past year,
the financial sector has been subjected to extensive regulatory developments and
preparing for compliance over the year ahead should be a priority for
businesses.’

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