Industries
Financial services move ahead with document management
Financial documents are stored and managed to improve the competitiveness of every financial services firm.
Document Locator is electronic document control and automation software for insurance, banking, wealth management, mortgage, and other financial services firms. Paper documents are converted to digital files, joining electronic documents in a single, unified and secure document management system. Everything is searchable and immediately retrievable.
Automate financial document processes
Behind nearly every financial document is an important process. Documents are routed for reviews, submitted for approvals, organized for retention, and more. From a simple approval action, to a sophisticated multi-step process with complicated branch decisions, Document Locator's document workflow eliminates the inefficiency of manually-driven tasks. Document processes are automated in defined workflows, improving the speed, accuracy, and audit-ready accountability of procedures and outcomes.
Comply with financial regulations
The burden of regulatory and compliance requirements weigh heavy in the financial services industry, with everything from Sarbanes-Oxley (SOX), FRCP, SEC, IRS, Graham-Leach-Bliley, the Patriot Act, and other laws and regulations playing a critical role. Effective control and management of documents within the scope of regulatory requirements is essential to avoiding penalties and potentially severe financial consequences. Document Locator's document control capabilities, including security, workflow, records policies, and more, provide the tools needed to manage financial documents in compliance with regulations.
Benefits of Financial Services Document Management
- Centralized document repository with security
- Automated workflow for reviews, approvals, and process steps
- Audit logging of document activities
- Annotations, redactions, and digital signatures integrations
- Document control components for regulatory compliance requirements
See how Document control works
See a document control demonstration
See how policies, procedures, and other important documents are managed in an easy-to-use, Windows-based, centralized system. As files are created or revised, changes are captured in version control, then files are routed electronically for approval. When published, people receive notifications letting them know they must read and acknowledge. Reporting tracks everything.
- Eliminates use of spreadsheets for tracking and recording acknowledgment
- Maintains audit logs and revision control
- Easy to get started with existing documents
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Complete the form and we will arrange a demo for you and your team.
Free Guide to Policy Management
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Learn how compliance managers, quality directors, document controllers, and HR professionals can electronically prepare, distribute, and gain acknowledgment of important policies, procedures, SOPs, work instructions, manuals, and more in a centralized document control system.
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Presentation
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Complete the form to receive a 20-minute recorded presentation on electronic policy management.
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