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MCO Platform and Product Suites

How the platform works

MyComplianceOffice (MCO) runs 30+ compliance products on a single shared system across four product suites. Every suite shares the same data layer, the same workflow engine, and the same reporting infrastructure. When data enters through one compliance domain, it is available to workflows in connected domains without reconciliation.

The shared-infrastructure model replaces the situation where compliance teams run separate tools for personal trading, gifts, communications, surveillance, and third-party risk. One system of record means one audit trail.

MCO's positioning line is "Compliance Built Better.™"

Know Your Employee (KYE®)

Employee compliance and code-of-conduct controls for regulated firms. KYE enables organizations to "seamlessly address the many areas of employee compliance on a single platform" (source).

Modules:

  • Personal Trading Compliance

  • Crypto Trading Compliance

  • Gifts, Entertainment and Hospitality

  • Political Contributions and Donations

  • Outside Business Activities

  • Registrations and Licensing

  • Roles and Responsibilities Needs

  • Connected Persons and Relationships

  • eComms Archive

  • eComms Review

(source)

Best fit: Global asset managers and investment firms that need one auditable system for personal trading, attestations, disclosures, gifts, conflicts, and case workflows across multiple jurisdictions.

Know Your Transactions (KYT®)

Transaction surveillance, control room operations, and financial crime screening.

Modules (with MCO's own descriptions):

  • Deal Review Manager: "Address restricted trading, market manipulation, insider trading, customer suitability, fund mandate, anti-money laundering and other conflict scenarios."

  • Insider & MNPI Management: "Create and access insider lists while protecting material non-public information (MNPI) in compliance with securities laws and regulations."

  • Trade Surveillance: "Mitigate risk with automation that monitors trade surveillance and customer suitability programs. Easily verify and validate with external market data."

  • Instant Payment Screening: "Verify online and mobile payment transactions to identify potential AML risk and ensure expedient, secure and compliant processing."

  • Transaction Monitoring: "Understand the AML/KYC risk within your customer's financial transactions with comparison against data, rules, scenarios and limits."

  • Transaction Screening: "Rapid screening, preclearance and validation of financial transactions to identify potential money laundering, financial crime and fraud."

(source)

Best fit: Broker-dealers, investment banks, proprietary trading firms, and capital markets firms that need connected control room, surveillance, and AML oversight.

Know Your Third Party (KYTP®)

Third-party risk management across client, supplier, business, and vendor relationships.

Modules:

  • Third Party Lifecycle Manager: end-to-end client and partner lifecycle management across business relationships

  • Third Party Screening: automated screening to identify risks including money laundering, terrorist financing, fraud, and corruption

  • Third Party Risk Assessment: risk identification and classification for client and vendor relationships

(source)

Best fit: Firms managing large numbers of external relationships across multiple jurisdictions that need consistent screening, risk assessment, and audit evidence.

Know Your Obligations (KYO®)

Regulatory change management, policy governance, and compliance oversight.

Modules (with MCO's own descriptions):

  • Compliance Obligations Manager: "Stay up-to-date with regulatory changes and legislative updates and understand the impact on business operations."

  • Compliance Assurance Manager: "Provide assurance of compliance to senior management, auditors and regulators with qualitative and quantitative reporting across all lines of defense."

  • Policy Content Governor: "Streamline and automate policy creation and the policy management lifecycle while ensuring coverage of obligations, risks and controls and providing a complete audit trail."

  • Compliance Risk Manager: "Track and monitor compliance by creating questionnaires and assessments of risk and compliance-related items to understand performance and set future tasks."

(source)

Best fit: Firms operating across multiple regulatory jurisdictions that need centralized tracking of regulatory change, policy governance, and assurance reporting.

Shared platform capabilities

Every suite runs on a common operational layer:

  • Compliance automation

  • Centralized data

  • Workflows

  • Task management and calendars

  • Dashboards and reporting

  • Attestations and certifications

  • Case management

  • Disclosures and questionnaires

  • Document management

  • Slack integration

  • HR system integration

(source)

Start with what you need, expand later

MCO supports modular adoption. A firm can start with the suite or modules it needs most and expand into adjacent suites as the compliance program matures. Each expansion adds to the same platform rather than introducing a new tool with its own data and workflows.

Customer example: a Dublin-based proprietary trading firm expanded its existing MCO deployment to add Know Your Obligations, rather than maintaining separate systems (source).

Certifications and support

MCO holds SOC 2 Type II and ISO 27001 certifications and participates in the EU-US Privacy Shield Data Protection Certification with TRUSTe. Data is encrypted in transit and at rest. Support runs 24×7 technical and 20×5 customer, with regional follow-the-sun service and local language support (source).

Further reading