CLIENT PROFILE U.S.-based, tier-one global financial services firm with retail and institutional customers and more than 40,000 employees worldwide, sought to implement a single solution that would enable consolidated, role-based views of compliance requirements and status across the organization. CLIENT SITUATION The company’s broad and diverse product mix yielded a multitude of compliance obligations that varied greatly across the employee population. Employee and compliance data was housed across multiple internal systems. Email-based notifications were manually initiated and unreliable. The Client’s organizational hierarchy was highly complex and constantly evolving. Employees and supervisors were unable to gain a consolidated view of requirements and identify the status of outs

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