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Platform Capabilities

Learn how teams in financial compliance unlock the full potential of Ascent

Mapping Obligations

Compliance teams spend hundreds of hours identifying and compiling their obligations. Ascent automates this process with the support of human experts, giving you the most complete result possible at a fraction of the time and cost.

Know Your Obligations
Ascent filters out the noise and pinpoints the obligations that matter to you.  Know exactly what you need to do to comply, down to the line of regulation.

Keep Them Current
Never get stuck with outdated information. As regulatory changes occur, your obligations register is automatically updated for your review.

Automate Manual Work
Manual processes and legacy tools are cumbersome and time-consuming. Ascent delivers your obligations in a clean, easy-to-read digital format.

Regulatory Change Management

Ascent helps you stay ahead of regulatory change. Sifting through mountains of rule updates and manually determining their impact is a thing of the past.

Never Miss an Update
Get regulatory intelligence targeted to your business. We cut out the white noise so you can focus on the updates that matter to you.

Know the Impact
Regulatory updates are neatly summarized and mapped to your business. Quickly understand how you may be impacted so you can take further action.

Create a Clean Process
Ascent streamlines regulatory change management by automatically connecting rule changes to your obligations.

Obligations Management

Effective compliance requires the work of many. Ascent’s workflow tools help you manage your obligations across teams and functions.

Create Traceability
Ascent links your obligations to the rules they came from. This holistic context helps you manage your obligations with full traceability.

Collaborate Across Teams
Workflow tools help you work cross-functionally. Hand off to-do’s, track deadlines, and effectively manage your obligations from start to finish.

Remediate Issues
As supervisory actions continue to rise, retiring open issues is paramount to your firm’s reputation. Ascent helps you identify gaps and respond in a timely manner.

Regulatory Monitoring

Stay ahead of the curve. Ascent helps you scan the regulatory horizon so you’re never surprised by new rule updates, guidance, or other developments.

Keep Track Better
Fewer sources of research means fewer headaches. Monitor, track and triage regulatory activity across the market.

Comply Proactively
Shift from reactive to proactive compliance. Know what’s coming down the pike and plan for business impact.

Focus on Strategy
Enhanced horizon scanning capabilities mean you spend less time searching and more time strategizing.

Obligations Gap Analysis

Need assurances that your compliance program is watertight? Use Ascent to backtest and update your current obligations inventory.

Prepare for Audits
Ensure your obligations are accurate and complete before auditors come knocking. Significantly reduce your regulatory and reputational risk.

Shore Up Gaps
Know almost instantly whether you’re missing any obligations so you can take the necessary steps to shore up your compliance program.

Save on Resources
Keep your obligations up to date without increasing internal staff hours or hiring costly consultants.

Compliance Audits

Whether you are preparing for an internal or compliance audit, or an external supervisory audit, Ascent helps you show evidence that you are complying with your obligations.

Automate Your Audit Trail
Ascent automatically records every activity completed in the platform so you can more easily demonstrate compliance to auditors.

Improve Accountability
Manual processes mean handoffs get lost. Ascent helps your team easily track ownership, so nothing slips through the cracks.

Catch Issues Sooner
Review compliance outputs in real-time. Ascent helps you spot gaps and take action before major problems arise.

Turn compliance into a competitive advantage

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