Arqis for compliance manuals & tracking

The manual problem

Six elements. One document nobody updates.

A programme can look complete on the page and still be failing in practice, one lapsed element at a time.

PoliciesECP · Element 1Written, version-controlled, and mapped to the rule that produced each clause

TrainingECP · Element 5Coverage tracked by role and jurisdiction, not assumed at onboarding

TestingECP · Element 7An independent test schedule with a record of findings, not just an intention to test

Corrective actionECP · Element 8Open items owned, dated and tracked to close, not lost in an email thread

Data handlingEO 14117 · 28 CFR 202Bulk data transfer controls, now a named element regulators expect to see documented

AttestationOFAC frameworkOfficer sign-off tied to the evidence behind it, not a signature on a template

Continuous monitoring

A programme goes stale two ways.

Every manual answers the question once. Arqis is the one that notices when the answer no longer holds.

First

The rule changes

A framework adds an element, a regulator's expectations shift, an enforcement action resets the bar for what counts as effective. Every policy that cited the affected standard reopens for review.

Second

The company changes

A reorg leaves a business unit untrained, a new product line falls outside the original scope, a headcount swing changes who needs to attest. The controls your manual depends on become monitored, not assumed.

Verify

We don't decide what your programme should look like.

Arqis drafts the manual your determinations already support, maps it to the framework your regulator actually tests against, and keeps both in sync as either one moves.

Draft

Generated from what you've already decided

Your compliance manual is assembled from the determinations already on file, cited to the same rules, not drafted from a blank template.

Verify

Training and testing become monitored controls

Coverage, attestations and test schedules are tracked continuously, not reconstructed at audit time.

Escalate

Gaps become a remediation plan

A lapsed control is dated, owned and tracked to close, with the trace attached if counsel or the board needs to see it.

Who it's for

Built for the teams who sign the attestation.

Arqis sits wherever a compliance programme, or a portfolio of them, has to be defended later, not just documented once.

Compliance officers & programme owners

One manual, not twelve versions

The policy, the training record and the rule that produced it live in the same file, version by version.

General counsel & legal

Defensible before it's tested

A programme with a continuous evidence trail is what regulators and auditors credit, not a binder that was accurate the day it was signed.

Internal audit & risk

Test coverage without the scramble

Walk into a test with the training register, policy versions and open items already assembled, not reconstructed the week before.

Board & audit committee

See the programme, not just the policy

A remediation item with an owner and a date is a materially different report than policies are in place.

Venture & private equity investors

Portfolio compliance in one view

Track programme status, training coverage and open remediation across every portfolio company from one register, not a spreadsheet refreshed once a quarter.

Working session

Bring us your current manual.

Ninety minutes. We map it against your determinations and show you what's already stale. No slides.

See a determination

A manual is a snapshot. Your company isn't.