The Gateway, your comprehensive compliance solution
The Gateway allows firms to monitor and track employee compliance filings, from personal account trading to gifts and benefits reporting, ensuring your processes are more efficient.
The Gateway acts as a depositary for all policies, registers, forms, and procedures, as well as a financial crime solution managing client onboarding processes, AML, KYC and CDD checks, risk assessments, and scheduled periodic reviews as part of our financial crime framework.
FinCrim, a dedicated AML compliance module also features on the Gateway. The module ensures that busy compliance teams have access to AML risk management, PEPs and Sanction screening, compliance monitoring and training solution in one place.
The Gateway system's key features include:
A fully inclusive diarised risk-based compliance monitoring programme;
a repository to keep policies and procedures;
an on-line compliance manual;
links to the FCA's Handbook to applicable sections and rules together with helpful explanatory notes which explain why certain actions and duties are needed to be undertaken together with definitions of certain regulatory phrases and terms; and a fully robust audit trail with identification of user, amendments, and timing of changes.
How we help
Accessible Slider title
Web-based, secure online environment
Access the protected portal with mobile devices from any location.
Track and monitor staff compliance filings, attestations, and approvals
Reminders are automatically sent to prompt staff when to file, making the process efficient and streamlined.
Compliance reporting and analytics tool
Produce reports for management meetings, internal audits, and investigations.
Simplicity and convenience
Employees have all compliance filings, approvals, and policies in one place making compliance easy and simple.
Manage compliance risk
Mitigate risks relating to conflicts, financial promotions, personal dealings, gifts and entertainment, and declarations of interest.
End-to-end AML solution
The FinCrim module enables clients to carry out the entire onboarding process within one platform. From capturing initial
client information to conducting AML checks and risk assessments, it offers a seamless experience.
Why Ocorian?
Flexible learning
Fitting staff training around daily operations is difficult, at all levels of the business. The Gateway offers an on-demand training service that prioritises convenience.
Expertise from ex-regulators
Our directors are well versed in this area; many having formerly worked as regulators. We are entirely focused on compliance and have a thorough understanding of regulatory processes, interpretation, and wider trends.
Constantly updated and improved
Regulations change all the time, and our position as compliance professionals within the industry leaves us ideally placed to track developments to update our courses in tandem.
Powered by The Gateway
The Gateway is a comprehensive compliance solution, designed by compliance professionals.
Specialist modules include:
Senior Managers & Certification Regime
Financial promotions approval form and recipients register
Product governance checklists
Appropriateness or preliminary suitability assessment form
Financial Resources monitoring under the Investment Firms Prudential Regime (IFPR)
Appointed Representative monitoring
Investor and Client AML KYC due diligence forms
Dedicated AML compliance module (FinCrim) designed to streamline onboarding processes
"We started using The Gateway as we wanted to introduce a modern compliance solution without the need to hire more compliance staff. The Gateway has met all our requirements..."
Hedge fund based in the West End
COO
How can the Gateway help your compliance function?
The Gateway is hosted by Bovill Newgate, Ocorian's subsidiary compliance consultancy service.
Let’s talk
Contact us and a member of our team will be in touch.
If you would like to speak to someone in regards to media please email: [email protected]
For career information and job applications please visit our careers page
