Managing employee compliance requires clear processes and consistent oversight
Firms need practical processes to manage employee compliance requirements, maintain accurate records and demonstrate appropriate oversight.
Our specialists help firms design, implement and operate employee compliance processes that reflect their business activities, regulatory obligations and operating model. Whether you need support with a specific activity or a broader employee compliance framework, we provide practical solutions that reduce operational burden.
How does Ocorian support employee compliance?
Service | How we support you |
|---|---|
Screening | Screening for new and existing employees, based around your policies with DBS checks, credit checks, sanctions, PEPs and adverse media all available. |
Certifications and registrations | Manage employee certifications, regulatory registrations and renewals, helping firms maintain accurate records and meet ongoing obligations. |
Attestations | Coordinate employee attestations, annual declarations and policy confirmations, providing consistent oversight and clear audit trails. |
Personal account dealing (PAD) | Design and operate personal account dealing processes, including employee disclosures, pre-clearance workflows, monitoring and record keeping. |
Gifts and entertainment | Develop and maintain gifts and entertainment registers, approval processes and ongoing monitoring to improve transparency and governance. |
Conflicts of interest | Support the identification, recording and ongoing management of conflicts of interest through structured governance and effective register management. |
Why choose Ocorian for employee compliance?
Practical employee compliance expertise
Our specialists understand the day-to-day challenges of managing employee compliance processes and work alongside firms to deliver practical, proportionate solutions that support effective governance.
Tailored, flexible support
Every firm's employee compliance requirements are different. We tailor our support to your operating model, regulatory obligations and internal governance arrangements, whether you require assistance with a specific process or a broader employee compliance framework.
Improved oversight and governance
Our structured processes help firms strengthen oversight, maintain accurate records and demonstrate effective governance across employee compliance activities.
Technology-enabled delivery
Where appropriate, we combine specialist expertise with technology to streamline employee compliance processes, improve reporting and create clear audit trails.
A trusted extension of your team
We work alongside your compliance function, providing additional expertise and operational support that strengthens governance while reducing pressure on internal teams.
Frequently asked questions
Employee compliance is how a firm manages the conduct obligations that arise from its own staff, including screening, certifications and registrations, attestations, personal account dealing, gifts and entertainment, and conflicts of interest. Ocorian helps firms design, implement and operate these processes.
Screening covers new and existing employees and can include DBS checks, credit checks, and sanctions, politically exposed persons (PEPs) and adverse-media checks, based around your policies.
Personal account dealing is employees trading for their own account. Ocorian designs and operates PAD processes, including employee disclosures, pre-clearance workflows, monitoring and record keeping.
Yes. Ocorian develops and maintains gifts and entertainment registers and approval processes, and supports the identification, recording and ongoing management of conflicts of interest.
Where appropriate, Ocorian combines specialist expertise with technology to streamline employee compliance, improve reporting and create clear audit trails. The Gateway, our compliance management platform, can run these workflows.
Let’s talk
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