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Compliance Management Systems


 
ZenGRC logo
 
ZenGRC is a cloud-based and on-premise governance, risk and compliance (GRC) management solution. It serves businesses of all sizes in any industry, including technology, retail, consumer goods, health care and finance. Primary features... Read More
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ZenGRC is a cloud-based and on-premise governance, risk and compliance (GRC) management solution. It serves businesses of all sizes in any industry, including technology, retail, consumer goods, health care and finance. Primary features... Read More
 
Compliance Management Software logo
 
Intelex offers cloud-based Compliance Management Software that helps businesses manage compliance and risk. The software helps users to manage compliance tasks, risks, training, audits and permits, and also features document control,... Read More
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Intelex offers cloud-based Compliance Management Software that helps businesses manage compliance and risk. The software helps users to manage compliance tasks, risks, training, audits and permits, and also features document control,... Read More
 
Integrum logo
 
Integrum is a cloud-based risk and compliance management solution for organizations of all sizes. It helps in managing quality, health, safety, environment, risk and compliance. Key features include incident management, investigation... Read More
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Integrum is a cloud-based risk and compliance management solution for organizations of all sizes. It helps in managing quality, health, safety, environment, risk and compliance. Key features include incident management, investigation... Read More
 
DoubleCheck logo
 
DoubleCheck is a cloud-based audit management solution designed for large businesses across multiple industries. It offers tools for audit planning, work paper, evidence management, report generation and issue resolution. DoubleCheck... Read More
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DoubleCheck is a cloud-based audit management solution designed for large businesses across multiple industries. It offers tools for audit planning, work paper, evidence management, report generation and issue resolution. DoubleCheck... Read More
 
BP Logix Process Director logo
 
BP Logix Process Director is a compliance management solution that offers both workflow as well as business process management (BPM) compliance within a single solution. The software is best suited to the needs of financial services,... Read More
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BP Logix Process Director is a compliance management solution that offers both workflow as well as business process management (BPM) compliance within a single solution. The software is best suited to the needs of financial services,... Read More

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GRC Cloud logo
 
GRC Cloud is a cloud-based internal audit and risk management solution for midsize to large businesses in multiple industries. Key features include audit trail, archiving and retention, ISO management and environmental compliance... Read More
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GRC Cloud is a cloud-based internal audit and risk management solution for midsize to large businesses in multiple industries. Key features include audit trail, archiving and retention, ISO management and environmental compliance... Read More
 
BSI Compliance Manager logo
 
BSI Compliance Manager is a cloud-based compliance solution that helps users manage risk, conduct-gap analysis and collaborate with other employees. BSI Compliance Manager’s audit management feature helps compliance professionals... Read More
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BSI Compliance Manager is a cloud-based compliance solution that helps users manage risk, conduct-gap analysis and collaborate with other employees. BSI Compliance Manager’s audit management feature helps compliance professionals... Read More
 
ERA Compliance logo
 
ERA Compliance is a cloud-based compliance management solution that is suitable for businesses of all sizes that need to manage health, safety and environmental compliance. ERA Compliance automatically emails users when a task is... Read More
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ERA Compliance is a cloud-based compliance management solution that is suitable for businesses of all sizes that need to manage health, safety and environmental compliance. ERA Compliance automatically emails users when a task is... Read More
 
SiteDocs logo
 
SiteDocs is a cloud-based audit management solution designed for businesses of multiple sizes in the construction and maintenance industries. Users can run their safety programs through mobile apps and web browsers. Key features include... Read More
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SiteDocs is a cloud-based audit management solution designed for businesses of multiple sizes in the construction and maintenance industries. Users can run their safety programs through mobile apps and web browsers. Key features include... Read More
 
PolicyTech logo
 
PolicyTech is a policy and procedure management solution from NAVEX Global that is suitable for all industries including healthcare, financial services, manufacturing, retail, government, energy and law enforcement. PolicyTech offers... Read More
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PolicyTech is a policy and procedure management solution from NAVEX Global that is suitable for all industries including healthcare, financial services, manufacturing, retail, government, energy and law enforcement. PolicyTech offers... Read More

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Zenefits logo
 
Zenefits is a cloud-based human resources information system (HRIS) that features user dashboards, core human resources, benefits administration, onboarding and employee scheduling. When new employees are hired, HR professionals using... Read More
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Zenefits is a cloud-based human resources information system (HRIS) that features user dashboards, core human resources, benefits administration, onboarding and employee scheduling. When new employees are hired, HR professionals using... Read More
 
VelocityEHS logo
 
VelocityEHS is a cloud-based environment, health, safety (EHS) and sustainability solution that helps users gain visibility and manage risk across their organization. VelocityEHS modules include incident management, audit and inspection,... Read More
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VelocityEHS is a cloud-based environment, health, safety (EHS) and sustainability solution that helps users gain visibility and manage risk across their organization. VelocityEHS modules include incident management, audit and inspection,... Read More
 
Cetec ERP logo
 
Cetec ERP is a manufacturing enterprise resource planning system for midsize to large organizations. Cetec ERP helps users to manage the manufacturing process, from a job's inception, to procurement, to shop-floor management in a single... Read More
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Cetec ERP is a manufacturing enterprise resource planning system for midsize to large organizations. Cetec ERP helps users to manage the manufacturing process, from a job's inception, to procurement, to shop-floor management in a single... Read More
 
Field iD logo
 
Field iD is a cloud-based safety compliance solution that uses a combination of radio-frequency identification (RFID) and barcodes along with internet-connected mobile devices to automate inspection and safety compliance management... Read More
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Field iD is a cloud-based safety compliance solution that uses a combination of radio-frequency identification (RFID) and barcodes along with internet-connected mobile devices to automate inspection and safety compliance management... Read More
 
Enablon logo
 
Enablon is a cloud-based environment, health and safety (EHS) management solution that helps organizations track the use of natural resources.  Enablon allows users to create action plans and ensure proper follow-ups with built-in... Read More
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Enablon is a cloud-based environment, health and safety (EHS) management solution that helps organizations track the use of natural resources.  Enablon allows users to create action plans and ensure proper follow-ups with built-in... Read More

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SafetySync logo
 
SafetySync is a cloud-based occupational health and safety management system that helps organizations monitor risks, train employees and keep up to date with compliance regulations. It is suitable for businesses of all sizes in a range... Read More
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SafetySync is a cloud-based occupational health and safety management system that helps organizations monitor risks, train employees and keep up to date with compliance regulations. It is suitable for businesses of all sizes in a range... Read More
 
Jolt logo
 
Jolt is a human resource (HR) platform provided by Intuiplan. The system is scalable and appropriate for businesses of varying sizes. Companies in the food and beverage industry, hospitality and travel, retail, and others can use and... Read More
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Jolt is a human resource (HR) platform provided by Intuiplan. The system is scalable and appropriate for businesses of varying sizes. Companies in the food and beverage industry, hospitality and travel, retail, and others can use and... Read More
 
RiskRate logo
 
RiskRate by Navex Global is a third-party risk management and compliance solution that monitors vendor due diligence. The system helps users conduct third-party background checks. RiskRate offers continuous monitoring of third-party... Read More
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RiskRate by Navex Global is a third-party risk management and compliance solution that monitors vendor due diligence. The system helps users conduct third-party background checks. RiskRate offers continuous monitoring of third-party... Read More
 
Promapp logo
 
Promapp is a cloud-based process management and compliance solution that enables large and midsize businesses to create and share process knowledge using a centralized repository. The solution is suitable for various industries including... Read More
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Promapp is a cloud-based process management and compliance solution that enables large and midsize businesses to create and share process knowledge using a centralized repository. The solution is suitable for various industries including... Read More
 
Intellect Compliance logo
 
Intellect Compliance is a cloud-based regulatory compliance and management solution that is suitable for organizations of all sizes. The solution helps compliance managers reduce workload and achieve legal compliance by automating... Read More
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Intellect Compliance is a cloud-based regulatory compliance and management solution that is suitable for organizations of all sizes. The solution helps compliance managers reduce workload and achieve legal compliance by automating... Read More

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Buyer's Guide

by Justin Guinn,
Market Research Associate
Last Updated: October 13, 2017


Compliance software is at the heart of an organization’s efforts to continually track whether business processes are aligned with applicable laws, organizational policies and the standards of consumers and business partners.

Of course, a corporate compliance program goes far beyond software, and businesses in certain industries may not even need software to manage compliance requirements. However, large businesses and organizations in sensitive industries (pharmaceutical manufacturing, financial services etc.) generally benefit from an approach to compliance issues that’s partially automated by software.

Compliance management functionality can be found in various types of software. We’ll help you understand your options, so you can make the right choice for your specific business model and industry.

Here’s what we’ll cover:

Reviewers' Choice
Which Types of Software Help With Compliance Management?
What Is the Core Functionality of Compliance Software?
Key Considerations for Buyers

Reviewers' Choice

compliance reviewers choice

 

Reviewers' Choice Products

Cetec ERP Jolt
Promapp SafetySync
Wdesk  

Our Reviewers’ Choice list shows the five highest user-rated software solutions for Compliance when adjusted for total number of reviews and recency of reviews.

If a software solution has more reviews, and more recent reviews, we value those ratings more highly than a product with fewer, older reviews. This is because is it much harder to get 100 five-star reviews than it is to get 10.

We also know that software vendors continually tweak and update their product, so we believe that more recent reviews tend to be more accurate.

To determine which products made the final cut, we looked at how users rated each solution's:

  • Overall performance,
  • Ease of use, and
  • Customer support

A solution can make the Reviewers' Choice top five in all three categories, or just one or two. All software solutions in the Reviewers' Choice have at least 10 reviews from real software users. The final products are listed in alphabetical order from left to right.

For more details on how we selected our Reviewers' Choice, read the full methodology.

Which Types of Software Help With Compliance Management?

There are essentially three kinds of compliance management software (also known as corporate compliance and oversight tools) on the market:

  • All-purpose compliance management platforms
  • Industry-specific compliance management tools
  • Governance, risk and compliance (GRC) software

All-purpose compliance management platforms offer generic capabilities for compliance management across industries. Sample vendors include CMO Compliance and Navex.

Industry-specific tools help businesses in heavily regulated industries (health care, industrial manufacturing, financial services etc.) meet specific legislative and commercial requirements.

GRC platforms include generic compliance management features alongside a broader set of capabilities for risk management and corporate governance (for instance, IT risk management, business continuity planning, and legal management). Sample vendors include Enablon.

Compliance reporting in Enablon

 

Compliance reporting in Enablon

 

In this buyer’s guide, we’ll focus on all-purpose compliance management platforms as well as GRC platforms. Industry-specific tools are so niche in functionality that your specific business model will significantly whittle down your shortlist of vendors.

What Is the Core Functionality of Compliance Software?

Compliance software covers a huge range of business processes, regulations and industry needs. It’s no surprise that platforms are highly diverse in their functionality.

Compliance doesn’t stop at industry regulations and standards (OSHA, ISO etc.). Corporate ethics policies, acceptable use policies, and even business partner policies can all pose compliance issues. For instance, Wal-Mart suppliers have to meet a number of stringent standards that suppliers of many other major retailers don’t have to bother with.

Let’s therefore zoom in on the most important components of a compliance management system:

Policy management and compliance registry Policy authoring and approval workflows, version control, etc. Policies are documented in a global registry that maps applicable regulations to policies.
Controls monitoring Workflow engine enables business units to attest compliance with policies and regulations. Controls are documented in a centralized catalog, and standardized workflows allow for a controlled incident escalation process.
Compliance reporting Enables visibility into violations and noncompliant facilities at various levels of aggregation via dashboards and scheduled reports. Some solutions also support continuous monitoring of KPIs related to sensitive business processes for compliance issues.
Audit management Systematic workflows, case management and reporting features for investigating and resolving compliance issues. Some solutions also support real-time field reporting for audits.
Regulatory intelligence and change management Tracks RSS and XML feeds of regulatory information and alerts published by standards bodies and government organizations. Feeds can then be mapped to existing policies. Some providers also have legal teams that compile knowledge bases of international regulations.
E-learning for compliance training Generic and customizable online courses for training employees on how to comply with policies.
Survey tools Survey modules allow organizations to distribute self-assessments to employees.
Conflicts management Tools for monitoring potential conflicts of interest (employee gifts, employee trading etc.)
Fraud management Risk management features allow for detection of patterns indicating fraudulent activity in financial statements, vendor payments etc. Controls can also be tested for efficacy in preventing fraud, and “whistleblower” hotlines and web forms allow employees to act as a front line of defense.
Multilingual interfaces Interfaces are available for employees who don’t speak English.

Aside from these specific features, the advisory firm Gartner notes in their “Market Guide for Corporate Compliance and Oversight Solutions” that one of the most important functions of compliance software is aggregation: “The huge number of global legal, regulatory and administrative requirements and the variety of standards, guidelines and frameworks require compliance managers to merge and normalize mapping of requirements to controls and other compliance activities.” (The full report is available to Gartner clients.)

This is obviously a daunting policy management challenge that compliance software partially addresses through automation.

Which Compliance Areas Do All-Purpose Solutions Cover?
In addition to basic requirements, such as employee codes of conduct, GRC platforms and all-purpose compliance management, software solutions typically cover the following compliance areas:

Financial/accounting regulations

  • Dodd-Frank
  • Sarbanes-Oxley
  • Model Audit Rule
  • Foreign Corrupt Practices Act
  • Bank Secrecy Act
  • Gramm–Leach–Bliley Act

Industry-specific standards bodies and regulatory agencies

  • ISO
  • Committee of Sponsoring Organizations of the Treadway Commission (COSO)
  • FERC
  • OSHA
  • FDA
  • HIPAA

Regulatory feeds

  • SEC
  • FINRA
  • FDA

Many providers offer out-of-the-box support for dozens of other standards, but if your organization operates in a heavily regulated industry, the first step in your search should be evaluating industry-specific solutions.

Mobile interface in CMO Compliance

 

Mobile interface in CMO Compliance

Key Considerations for Buyers

We’ve seen that the landscape of compliance management vendors remains highly fragmented due to the diverse nature of compliance requirements. Keeping the following considerations in mind will help you evaluate vendors to build an effective shortlist:

  • How much risk management functionality do you need? Risk management and compliance management frequently go hand-in-hand, and many providers offer integrated solutions that can identify compliance risks.
  •  
  • Does your business operate in an industry where continuity planning is necessary? Typically, vendors that handle compliance management also offer business continuity management. Manufacturers, large retailers and other organizations with complex supply chains, as well as organizations that operate in politically and economically unstable regions, can benefit from consolidating these requirements in a single platform.
  •  
  • To what extent does the IT department factor into compliance requirements? IT compliance is, to some extent, its own beast. Not all vendors offer equal coverage when it comes to IT compliance—look for vendors offering out-of-the-box support for frameworks like Control Objectives for Information and Related Technologies (COBIT).

 

 

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