Monitor regulatory issues, reduce compliance risk
As the complexity and operational burden of financial services regulation increases, it is inevitable for issues within the compliance workflow to arise. Whether these are minor risk incidents, wider problems with underlying process, or failures ultimately leading to regulatory breaches, proper management of issues is essential to the well-being of your business.
The Axiom Issue and Breach Management offering is a dedicated software solution for financial services firms faced with the challenge of tracking regulatory issues and breaches. Its robust online workflow simplifies reporting, tracking and resolving issues with individual action plans and tasks that can be assigned to Axiom users.
Whether the entire workflow is completed within Axiom or integrated with an existing system via the Axiom API, managing breaches with Axiom issue and breach management solution is the best way to provide full control and visibility of the end-to-end process.
Key features of the solution
Monitor regulatory issues, reduce compliance risk with Axiom Issue and breach management tool
Track breaches, issues and risk
Access breach workflows and history of changes for audits
Assign ownership and investigation responsibilities
Report on links to regulatory controls and procedure documents
Link issues to control failures, risks, processes and individual rules
Track detailed metrics like resolution time, issue severity
Design bespoke dashboards and reports using the MI suite
Integrate with other Axiom solutions for easy set-up and configuration
Customer Testimonials
Stable and user friendly interface
It is relatively low-cost with the user interface stable and user-friendly. The backup team from Axiom are easy to contact and within that team, there are CASS specialists who are recognised throughout the industry which gives us confidence in the advice and the solution that we are using.
Ticks all the boxes
The centralisation, the attestation and the resolution pack. It ticks all the boxes that we wanted to sign off.
Axiom openly committed to enhancing its product
It is refreshing to see a software provider that is so openly committed to enhancing its product.
Request a Demo
Industry-leading regulatory compliance solutions
Axiom HQ provides regulatory compliance solutions designed to help you demonstrate and evidence compliance using Axiom platform’s comprehensive rules-mapping, risk and control tools, automated reporting features and powerful dashboards.
Axiom HQ is a trusted partner of the top financial services companies
