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NAVEX One Compliance Management from NAVEX Global

Offers integrated policy management, risk assessment, third-party risk management, compliance training, whistleblower hotline, and case management capabilities tailored for banking regulations and compliance requirements.

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Product analysis by function

Compliance Management for Compliance

Platforms for managing the overall compliance program, including policy management, training, and regulatory change management.
More Compliance Management More Compliance ...

Regulatory Compliance Monitoring
(7 Yes /7 Known /10 Possible features)

KYC & Customer Due Diligence
(6 Yes /6 Known /11 Possible features)

Anti-Money Laundering (AML)
(0 Yes /0 Known /11 Possible features)

Audit & Reporting
(0 Yes /0 Known /10 Possible features)

Workflow Automation
(0 Yes /0 Known /10 Possible features)

User Access & Security
(0 Yes /0 Known /10 Possible features)

Data Management & Quality
(0 Yes /0 Known /10 Possible features)

Integration & Interoperability
(0 Yes /0 Known /10 Possible features)

User Experience & Accessibility
(0 Yes /0 Known /10 Possible features)

Training & Knowledge Management
(0 Yes /0 Known /10 Possible features)

Continuous Improvement & Risk Management
(0 Yes /0 Known /10 Possible features)

Governance Management Platforms for Compliance and Governance

Software that supports board and committee management, policy administration, and governance workflows. These platforms maintain governance documents, manage meeting schedules, and track decision implementation.
More Governance Management Platforms More Compliance and Governance ...

Board & Committee Management
(8 Yes /10 Known /15 Possible features)

Policy & Document Management
(15 Yes /15 Known /15 Possible features)

Governance Workflow Automation
(15 Yes /15 Known /15 Possible features)

Compliance & Regulatory Management
(15 Yes /15 Known /15 Possible features)

Decision & Action Tracking
(9 Yes /9 Known /15 Possible features)

User & Access Management
(14 Yes /14 Known /15 Possible features)

Audit & Evidence Management
(14 Yes /14 Known /15 Possible features)

Reporting & Analytics
(13 Yes /13 Known /15 Possible features)

Integration & Interoperability
(8 Yes /8 Known /15 Possible features)

Security & Data Protection
(13 Yes /13 Known /15 Possible features)

Usability & Support
(14 Yes /14 Known /15 Possible features)

Compare

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Automated Regulatory Updates The software automatically identifies and updates users about new or changing regulatory requirements.		NAVEX One advertises automated regulatory tracking and update notifications as part of its compliance platform.
Jurisdictional Coverage The number of jurisdictions or geographies the compliance system supports for regulatory monitoring.		No information available
Rule Engine Customization Ability to customize business rules based on specific regulatory requirements for different regions or product lines.		Platform supports customization of rules, policies and risk scoring logic to address multi-jurisdictional needs.
Real-time Alerting The system provides real-time alerts on compliance breaches or critical regulatory changes.		Provides real-time alerts for regulatory compliance events and violations.
Regulation Repository Includes a central library of all relevant regulations and historical changes.		Includes a central repository for regulations, policies, and change history.
Audit Logs for Regulation Changes Tracks all updates or changes made to regulatory rules within the software.		Tracks all changes to policies and rules, providing full audit logs as described in marketing materials.
API Integration with Regulatory Bodies Ability to integrate directly with regulatory authority APIs for automated updates.		No information available
Granularity of Compliance Checks Level of detail at which compliance checks can be performed.		No information available
Threshold-based Triggers Set specific thresholds that trigger compliance workflows or alerts.		Ability to set custom compliance triggers and alerts based on configurable thresholds.
Historical Compliance Data Analysis Analyze historical compliance monitoring data for trends or recurring issues.		The reporting tools allow analysis of historical compliance activities.

Identity Verification Tools Automated checks to verify customer identification documents and biographical data.		No information available
Sanctions List Screening Screen customers against local and global sanctions and watchlists.		No information available
Politically Exposed Persons Database Integration Checks customer status against PEP databases.		No information available
Customer Risk Scoring Automatically assigns a risk score to customers based on KYC data.		Platform offers automated client risk scoring through policy and case modules.
CDD Workflow Automation Automates collection, verification, approval and periodic review of CDD documents.		Workflow automation for gathering, approving, and reviewing compliance and CDD/KYC documents is included.
Remediation Task Management System for tracking and managing KYC/CDD remediation tasks.		Case and remediation task management are core features of NAVEX One.
Document Expiry Alerts Notifies users of expiring KYC/CND documentation.		The system provides automated reminders and expiring document notifications.
Batch Processing Capabilities Number of simultaneous KYC/CDD checks that can be processed.		No information available
Dynamic Questionnaire Generation Generates tailored questionnaires for enhanced due diligence cases.		NAVEX One can generate adaptive questionnaires for investigations or due diligence.
Ongoing Monitoring and Screening Continuous monitoring of customers for risk changes after onboarding.		Continuous monitoring of regulatory and risk data is advertised for NAVEX One customers.
Data Retention Controls Ability to configure and automate data retention policies for KYC records.		No information available

Transaction Monitoring Engine Tool that scans transactions for suspicious patterns and generates alerts.		No information available
Rule-based Scenario Builder Create and customize AML scenarios and rules for detection.		No information available
AML Case Management Tracks investigation and disposition of flagged AML cases.		No information available
Automated SAR (Suspicious Activity Report) Generation Automatically generates SARs for submission to regulators.		No information available
False Positive Reduction Tools Algorithms or features that help reduce unnecessary AML alerts.		No information available
Real-time Screening Speed The average time it takes to screen and process AML checks on transactions.		No information available
Integration with Payment Gateways Allows AML engine to monitor all transaction types by integrating with payment and core banking systems.		No information available
Peer Group Analysis Analyzes behavior compared to similar entities to detect anomalies.		No information available
Behavioural Analytics Uses AI or statistical models to detect unusual customer activity.		No information available
Multi-currency & Cross-border Transaction Detection Supports AML checks for international and multi-currency transactions.		No information available
Audit Trail of AML Actions Maintains an auditable log of all AML decisions and actions taken.		No information available

Automated Audit Trails Captures comprehensive logs of all user and system activity.		No information available
Customizable Report Generation Users can define and generate compliance reports tailored to specific regulatory or management needs.		No information available
On-demand Data Export Export of data for reporting or further analysis in multiple formats (CSV, PDF, etc.).		No information available
Scheduled Reports Ability to schedule regular reports for compliance review.		No information available
Automated Regulatory Filings Direct transmission of required reports to regulators via electronic means.		No information available
Report Customization Limits Maximum number of custom report templates users can define.		No information available
Data Retention Period Configuration Defines the configurable period for which audit log data is retained.		No information available
Exception Reporting Automatically highlights areas of concern or compliance failure in standard reports.		No information available
Interactive Dashboards Provides visuals and metrics on compliance status in real-time.		No information available
Audit Evidence Attachments Ability to attach supporting documentation to audit actions within the tool.		No information available

Custom Approval Flows Ability to design custom multi-stage approval workflows for compliance-related actions.		No information available
Task Assignment Automation System automatically assigns tasks to the appropriate personnel based on business rules.		No information available
Automated Remediation Actions Automates corrective actions for non-compliance or task failures.		No information available
Escalation Management Rules and mechanisms for escalating unresolved or overdue compliance actions.		No information available
Notification Engine Automated sending of alerts and reminders via email, SMS, or in-app messages.		No information available
Workflow Templates Library Pre-built templates for common compliance workflows.		No information available
SLAs for Compliance Tasks Ability to define Service Level Agreements for completion of compliance actions.		No information available
Parallel Processing Capabilities Number of workflow tasks that can be handled simultaneously.		No information available
Auditability of Workflow Changes Tracks and records all changes made to workflow structures.		No information available
Workflow Version Control Maintains a history of workflow iterations and allows rollbacks.		No information available

Role-based Access Controls Only authorized users can access sensitive compliance functions.		No information available
Multi-factor Authentication Requires users to provide multiple credentials for added security.		No information available
Granular Permission Management Define fine-tuned permissions at the user or group level.		No information available
Single Sign-On Integration Supports authentication with enterprise SSO providers.		No information available
Session Timeout Settings Control the time of inactivity before automatic logout.		No information available
User Authentication Logs Activity logs tracking all login attempts and access times.		No information available
Security Certification Compliance System adheres to security standards such as ISO 27001 or SOC 2.		No information available
Encryption of Data at Rest and in Transit All sensitive data is encrypted both in storage and during transmission.		No information available
User De-Provisioning Automation Automatically removes access for users who no longer require it.		No information available
Access Request Workflow Automated requests and approvals for elevated access to compliance modules.		No information available

Centralized Data Repository All compliance-related data is housed in a unified location.		No information available
Data Validation Rules Business rules that verify input and output data accuracy.		No information available
Automated Data Cleansing Automatic identification and correction of incomplete, inaccurate, or irrelevant data.		No information available
Data Lineage Tracking Tracks the origin of compliance data through its lifecycle.		No information available
Data Quality Score Measure of completeness and accuracy across data sets.		No information available
Duplicate Data Detection System flags redundant or duplicate records.		No information available
Automated Backups Regular, automated data backups for disaster recovery.		No information available
Data Encryption Applies industry-standard encryption to protect all data.		No information available
Data Masking for Sensitive Fields Hides sensitive information from unauthorized users.		No information available
Data Export/Import Capabilities Allows bulk movement of compliance data into and out of the platform.		No information available

Core Banking System Integration Connects compliance tools directly to core banking platforms.		No information available
Open APIs Provides public and/or private APIs for third-party integration.		No information available
Third-party Data Feeds Supports integration of external data sources (e.g., credit bureaus, sanctions databases).		No information available
Plug-in Architecture Supports adding external modules for expanded functionality.		No information available
Event Notification Webhooks System can send real-time notifications to external systems.		No information available
Bulk Data Synchronization Speed Maximum rate at which large data volumes can be synched.		No information available
Interbank Network Compatibility Supports compliance functionalities across multiple banking platforms/networks.		No information available
Document Management System Integration Links with DMS for seamless access to compliance documentation.		No information available
Email System Integration Ability to communicate compliance alerts and notifications via email systems.		No information available
Legacy System Compatibility Supports interoperation with older banking systems.		No information available

Intuitive User Interface Designed for ease of use and fast task completion.		No information available
Multi-language Support Platform supports multiple languages for global teams.		No information available
Accessibility Compliance Adheres to accessibility standards such as WCAG for users with disabilities.		No information available
Role-based Dashboards Custom views for different user roles within the compliance process.		No information available
Mobile Access System accessible via smartphones and tablets.		No information available
User Onboarding Tutorials Integrated help and tutorial features for training new users.		No information available
Task Completion Metrics Average time taken by users to complete standard compliance tasks.		No information available
Customizable Homepages Ability for users to set personalized dashboards or landing pages.		No information available
Search and Filter Tools Advanced search and filter functions to locate compliance records and tasks.		No information available
In-app Support/Chat Built-in channel for user support or live chat.		No information available

Integrated Policy Library Central repository for compliance policies and procedures.		No information available
Automated Training Reminders Notifies users when required training is due.		No information available
E-learning Module Integration System supports in-app or linked e-learning for compliance training.		No information available
Training Completion Tracking Tracks which users have completed mandatory training.		No information available
Certification Records Management Stores and manages certifications or proof of completion for compliance training.		No information available
Policy Version Control Tracks updates and maintains historical versions of compliance documents.		No information available
Knowledge Base Search Advanced search functionality for the knowledge repository.		No information available
Quiz/Assessment Tools Integrated tools for testing user understanding of compliance topics.		No information available
Multi-media Content Support Supports multiple formats (text, video, audio) for training content.		No information available
Feedback Collection from Training Enables users to provide feedback on training quality.		No information available

Compliance Risk Assessment Tools Enables assessment of compliance risk at entity, product, or process levels.		No information available
Automated Gap Analysis Automatically identifies gaps in existing compliance controls.		No information available
Corrective and Preventive Action (CAPA) Tracking Tracks completion and effectiveness of corrective actions.		No information available
Compliance Calendar Central calendar for deadlines related to regulatory filings or policy reviews.		No information available
Incident Management Logs and manages remediation of compliance incidents.		No information available
Heatmap Generation Visualizes areas of compliance risk across entities or processes.		No information available
Automated Remediation Recommendations Provides suggestions for closing compliance gaps.		No information available
Continuous Control Testing Frequency The number of control tests the system can run automatically on a periodic basis.		No information available
Key Risk Indicator (KRI) Monitoring Monitors leading indicators for early warning of compliance risks.		No information available
Management Review Dashboard Special review dashboards for compliance managers or auditors.		No information available

Meeting Scheduling Ability to coordinate and schedule meetings with automated calendar invitations.		Not as far as we are aware.* No evidence of automated calendar-based meeting scheduling; focus is on compliance and policy, not meeting logistics.
Digital Agendas Support for creating, distributing, and amending meeting agendas electronically.		Policy management module includes features for digital policy/agendas creation, distribution and amendment.
Secure Minutes Capture Tool to record, store, and distribute meeting minutes in a secure, permission-controlled environment.		Case and incident management supports secure, permissioned recording and retrieval of sensitive information, equivalent to secure minutes.
Attendance Tracking System for recording and reporting on attendee participation in meetings.		No information available
Voting & Resolutions Digital tools for facilitating, recording, and storing votes and resolutions.		No information available
Conflict of Interest Declarations Automated process for members to declare and manage conflicts of interest.		Contains conflict of interest declaration/attestation functionality as part of compliance forms and workflow.
Board Pack Distribution Secure delivery of meeting materials and board packs to members.		Policy and document management includes secure board pack/materials distribution capabilities.
Role-Based Access Customizable access controls for different committee and board member roles.		Role-based access controls are core, with permissioning available at user, group, and document level.
Integration with Calendar Systems Ability to sync with external calendaring solutions (e.g., Outlook, Google Calendar).		Not as far as we are aware.* No specific calendar sync (Google/Outlook) integration detailed in product literature.
Automated Reminders & Notifications Automated emails or alerts for pending tasks, upcoming meetings, or policy reviews.		Automated reminders and notifications available for compliance reviews, tasks, and policy attestations.
Task Assignment & Follow-up Assign tasks to board/committee members and automate follow-up reminders.		Task assignment and follow-up reminders supported as part of workflow automation and task management modules.
Meeting Recording Audio or video recording of meetings with secure access.		No information available
Remote Participation Tools Support for secure video conferencing and virtual meeting participation.		Remote access and secure participation (including confidential hotline and workflow access) available, supporting distributed governance.
Document Annotation Board members can annotate and share notes directly on meeting documents.		No information available
Member Directory Centralized directory of all board and committee members, including terms and roles.		No information available

Centralized Document Repository Single, secure storage location for all governance and policy documents.		Centralized document repository and secure storage core to policy management.
Document Version Control Track changes, maintain prior versions, and manage approvals for documents.		Document version control, including audit trails, approvals, and rollback features integral to policy and document management.
Searchable Document Index Advanced search capabilities across document types and content.		Document repository includes advanced search, metadata tagging, and full-text indexing.
Document Expiry & Review Dates Automated tracking and notification of policy expiration and scheduled reviews.		Automated review/expiry notification scheduling as part of policy management workflows.
Role-Based Document Access Access controlled via roles and permissions, supporting confidentiality.		Role and policy-based access configuration for document/policy access and confidentiality.
Policy Workflow Automation Automate drafting, approval, and publishing workflows for governance documents.		Workflow automation, including draft, approval, and publishing steps for governance documents.
E-signature Integration Ability for stakeholders to electronically sign documents securely.		E-signature integration available, used for policy acknowledgments and compliance attestations.
Document Acknowledgment Tracking Track which members have read and acknowledged receipt of documents.		Users' reading and attestation tracked, documented, and available for reporting.
External Document Sharing Secure sharing features for documents with external advisors or regulators.		External and third-party document sharing via secure, permissioned portals (used for vendor risk and external attestation).
Document Encryption In-transit and at-rest encryption for all stored documents.		Documents and data encrypted both in transit and at rest (per NAVEX security practices).
Activity Audit Trails Record activity, changes, and access events for all documents.		Audit trails for all document-related actions/change logs present in core platform.
Template Management Pre-defined templates for common policy and governance documents.		Document and workflow templates provided for policy, risk, and compliance use-cases.
Multi-format Document Support Support for popular document formats (PDF, Word, XLS, etc.).		Supports PDF, Word, Excel, and other main document types.
Document Retention Scheduling Automated purging and archiving based on retention policies.		Policy and evidence retention scheduling enforced, in line with compliance standards.
Contract & Legal Document Management Specialized workflow and security for managing contracts and sensitive legal documents.		Contract management workflow and secure storage included in legal/third-party risk module.

Workflow Builder Intuitive tool to design and visualize governance workflows.		Visual workflow builder for compliance, policy, and case management is provided.
Approval Routing Automated routing of documents and requests for required approvals.		Workflow automation includes approval routing and policy review steps.
Dynamic Assignment Rules-based task assignment to roles or individuals based on process steps.		Rules-based task assignment to users or groups based on workflow step/status.
Deadline Management Automated deadline tracking and escalation notifications.		Deadline management, automated reminders, and escalation steps are core.
Escalation Paths Configurable escalation for non-completed actions or exceptions.		Configurable escalation paths and alerts for overdue tasks present in workflows.
Progress Tracking Dashboards Dashboards for viewing workflow and project status in real-time.		Real-time dashboards showing workflow and compliance progress.
Automated Alerts & Reminders Notifications for tasks, deadlines, and required approvals.		Automated alerts and reminders for tasks and deadlines available.
Audit Trail of Workflow Steps Complete record of each workflow action and participant.		Workflows are fully auditable and track each action/step.
Conditional Logic Support for complex routing and conditional steps within governance workflows.		Conditional logic supported within governance/compliance workflows.
Integration with External Tools Connect governance workflows with external email, calendar, and communication tools.		Third-party and connector integrations for email, SSO, and communication tools.
Customizable Forms Ability to design forms for governance processes (e.g., requests, declarations).		Custom forms can be developed for attestation, third-party risk, and policy declaration.
Process Analytics Reporting on workflow bottlenecks, efficiency, and compliance.		Workflow effectiveness, bottleneck, and compliance reporting included.
Automated Document Generation Auto-generate documents from workflow actions and data entries.		Predefined document templates can generate documents from workflow data.
Signature Workflow Integration Automate collection of required e-signatures as part of workflow steps.		E-signature capture can be integrated into workflow steps for required approvals.
Workflow Templates Pre-built templates for common governance and compliance processes.		Industry standard governance templates included for rapid onboarding.

Regulatory Calendar System to track filing deadlines and regulatory obligations.		Regulatory compliance calendar and obligation-tracking modules included.
Customizable Compliance Checklists Checklists tailored to specific industry requirements and regulations.		Customizable regulatory & compliance checklists available to fit banking and jurisdictional requirements.
Automated Compliance Monitoring Continuous monitoring of compliance with built-in alerts for non-compliance.		Automated compliance monitoring with alerts for non-compliance core to the platform.
Regulatory Reporting Tools for generating and submitting reports to regulators.		Regulatory and compliance reporting modules generate, submit, and track regulatory reports.
Rule & Policy Mapping Link regulations and policies to related internal processes and controls.		Links between policies, controls, and regulations managed via mapping functions.
Regulatory Change Notifications Alerts for relevant changes in laws, standards, or regulations.		Monitors and notifies users of changes in relevant regulations and standards.
Automated Evidence Collection Automatically gather records necessary for demonstrating compliance.		System collects compliance evidence automatically for audits.
Compliance Attestation Tracking Track and report on user attestation to key policies or regulatory requirements.		Tracks attestation completions for training, policies, and compliance requirements.
Risk Register Integration Connect compliance issues to an organizational risk register.		Integration with risk management module links compliance issues to risk register.
Compliance Analytics Analytics to identify compliance trends, gaps, and risks.		Compliance analytics, dashboards, and gap analysis included.
Policy Exception Management Workflow for documenting, approving, and tracking policy exceptions.		Documenting, reporting, and tracking policy exceptions supported in compliance module.
Audit Trail of Compliance Activities Detailed auditing of all compliance-related actions and changes.		Comprehensive audit trail included for all compliance-related activities.
Third-party Compliance Management Extend compliance monitoring and reporting to key vendors and service providers.		Third-party risk and compliance modules extend management and reporting to vendors and external parties.
User Certifications and Training Tracking Record staff certifications and required compliance training completions.		Tracks certifications and required regulatory training for all users.
Cross-jurisdictional Compliance Support Manage and track requirements across multiple applicable jurisdictions.		Navex One supports compliance in multiple countries and tracks jurisdiction-specific obligations.

Decision Register Central log of all formal decisions made by boards and committees.		No information available
Automated Action Item Creation Create and assign action items directly from meeting minutes or resolutions.		Workflows can directly generate and assign action items from incidents and findings.
Action Item Status Tracking Monitor the completion and status of governance-related action items.		Status tracking for all workflow and compliance action items is a core function.
Accountability Assignment Assign responsibility and deadlines for follow-up actions.		Accountability/assignee mapped on each action or remediation item.
Completion Notification Automated notifications when assigned tasks are completed or overdue.		Automated notifications for action completion and overdue tasks.
Evidence Attachment Attach evidence items (documents, links, notes) to decision and action records.		Attachments and evidentiary documentation can be linked to actions and decisions.
Overdue Actions Dashboard Overview of outstanding or overdue actions by board, committee, or member.		No information available
Linking Decisions to Policies Map decisions to relevant documents or policies for traceability.		No information available
Recurring Actions Scheduling Schedule and automate recurring governance actions and reminders.		Recurring actions/workflows, such as annual policy attestations, can be scheduled automatically.
Dependency Tracking Manage dependencies between multiple action items or decisions.		No information available
Export/Reporting Export lists or reports of decisions and actions for audits or reviews.		Supports exporting reports for audits and reviews.
Comment and Discussion Threads Embedded discussion capability for decision and action items.		Embedded commenting/discussion available on compliance issues, cases, and policies.
Task Re-assignment Ability to reassign actions in case of absence or role changes.		No information available
Escalation for Stalled Actions Automated escalation of uncompleted actions to designated leaders.		Escalation for overdue/uncompleted compliance/audit tasks included.
Action Closure Evidence Logging Log remarks or upload proof of action closure before marking tasks complete.		No information available

Single Sign-On (SSO) Support Integration with SSO providers for streamlined, secure login.		Integration with most major SSO providers of enterprise platforms.
Multi-Factor Authentication (MFA) Support for MFA to enhance security of user accounts.		Multi-factor authentication natively supported.
User Provisioning and De-provisioning Automated onboarding and offboarding of users based on roles.		Automated onboarding and deprovisioning via integrations and workflow.
Role-Based Access Controls Granular permissions management based on organizational and governance roles.		Granular, role-based access controls for all user and admin actions.
Delegated User Administration Allow designated personnel to manage users in subgroups or committees.		No information available
User Activity Monitoring Audit and log user activity within the platform.		User actions and activities are logged and monitored for security and compliance.
Group and Committee Memberships Easily manage group affiliations and role memberships.		Management of users and roles for groups/committees is a standard feature.
Guest/External User Access Secure, time-limited platform access for external advisors, auditors, or consultants.		External/guest access supported for vendors, auditors, and legal advisors.
Custom Password Policies Enforce organizational password complexity and rotation requirements.		Custom password strength and rotation policies can be set.
Account Lockout Policies Security measures for failed login attempts and account lockouts.		Account lockout/security protections are configurable.
Bulk User Management Support for bulk upload or changes to user permissions and accounts.		Bulk user provisioning, deprovisioning and permissions management capabilities.
Access Request and Approval Workflow Automate and document the approval process for user access changes.		Workflow-based access request and approval supported.
Session Timeout Configuration Adjustable limits for user session activity and automatic logoff.		User session timeout and logoff configuration available.
User Directory Synchronization Integration with enterprise directory systems (e.g., Active Directory, LDAP).		Integration with enterprise directory and identity management systems (Active Directory, SAML, etc).
User Access Review Reporting Generate reports for periodic access reviews and audits.		Periodic access review and reporting for user accounts and permissions.

Audit Trail Logging Comprehensive logs of all actions, changes, and access events throughout the platform.		Comprehensive platform-wide audit logs.
Evidence Repository Central, secure storage for audit evidence (documents, communications, files, etc.).		Central evidence repository for all audit, compliance, and investigation documentation.
Audit Query Support Rapid response to audit requests with filtered document and record search.		Support for rapid response to audit queries integrated via advanced search/reporting.
Audit-ready Reports Pre-built report templates for common audit requirements.		Audit-ready reporting templates for compliance, SOC, ISO, etc.
Data Export Capabilities Ability to securely export audit logs and supporting documentation.		Secure and granular export of audit logs and documents.
Tamper-evident Logging Ensure audit logs cannot be altered without detection.		Audit logs are protected from tampering through strict controls and monitoring.
Point-in-Time Snapshots Store system state/archive at specific dates for evidence and historical reference.		No information available
Exception Documentation Document reasons for and approval of exceptions to standard processes.		Exception documentation built into compliance and audit workflows.
Link Evidence to Decisions Direct association of evidence files with meeting items, decisions, policies, or actions.		Evidence can be linked to meeting items, compliance activities, and decisions.
Access-controlled Evidence Sharing Secure, permission-based access for internal or external auditors.		Access to evidence and audit content is permission-based for security.
Retention Management Automated application of retention policies to audit evidence and logs.		Retention management for evidence and audit data configurable per policy.
Evidence Version Control Track changes or additions to audit evidence over time.		Versioning and history of evidence/documents supported.
Audit Issue Tracking Track and manage audit findings, recommendations, and remedial actions.		Audit issue finding, tracking, assignment, and remediation all supported.
Cross-linking to Policies Link audit evidence and findings directly to governing policy documents.		Audit evidence and findings cross-linked to policies and controls.
Audit Engagement History Log of all past audit events, responses, and outcomes for reference.		Historical audit engagement record maintained for each entity.

Custom Report Builder Design, save, and schedule custom reports from governance and compliance data.		Custom reports can be designed, scheduled, and distributed.
Dashboards Configurable, real-time dashboards for monitoring key governance metrics.		Real-time, configurable dashboards available for governance and compliance metrics.
Automated Scheduled Reports Auto-generate and distribute reports on a regular schedule.		Reports can be scheduled and automatically delivered.
Export to Multiple Formats Download reports in PDF, Excel, CSV, or other useful formats.		Export to PDF, Excel, and other formats supported.
Data Visualization Charts, graphs, and visual aids for performance and compliance trends.		Charts, graphs, and customizable visuals built-in.
Report Access Controls Restrict access to sensitive reports based on user roles and permissions.		Access to reports and dashboards is strictly role- and permission-based.
Drill-through Analytics Navigate from summary dashboards to detailed report data.		Drill-down capability from dashboards to detail in reporting.
Filter and Search Capabilities Advanced filter and search on report data.		Advanced filtering and search in report/data modules available.
Automated KPI Monitoring Continuous monitoring of key performance indicators with alerts for threshold breaches.		KPI definition, automatic monitoring, and alerting for breaches possible.
Audit and Compliance Reporting Pre-built templates for regulatory, audit, or compliance reporting.		Regulatory, audit, and compliance reporting templates provided.
Historical Data Analysis Compare current and past governance/compliance performance data.		Trend analysis and point-in-time performance comparison supported.
Integration with BI Tools Connect platform data to external business intelligence tools.		APIs available for integration with BI tools like Tableau, Power BI.
Scheduled Distribution Lists Auto-email scheduled reports to distribution groups or individuals.		Automated report distribution via email to distribution lists.
Interactive Data Exploration Users can interact with report visualizations in the browser.		No information available
Maturity & Benchmarking Reports Compare governance maturity or compliance benchmarks against peers.		No information available

API Availability Availability of well-documented APIs for exchanging data with other systems.		APIs and detailed documentation available for data integration.
Single Sign-On Integration Seamless login integration with enterprise authentication solutions.		SSO integration for seamless enterprise authentication.
Data Import/Export Bulk import/export of data to/from external platforms and legacy systems.		Bulk data import/export is available, often used in onboarding or migration.
Integration with Cloud Storage Connect platform to cloud storage services (e.g., SharePoint, Dropbox, Google Drive).		Connectors provided for SharePoint, OneDrive, and major cloud storage.
Email System Integration Bi-directional communication with corporate email systems.		No information available
Calendar Integration Sync platform events with individual or shared calendars in real time.		No information available
Directory Service Integration Synchronize user accounts and groups with enterprise identity systems.		Directory/identity sync with enterprise systems (AD/LDAP/SAML/OIDC).
Workflow & Automation Tool Integration Integrate with external workflow automation (e.g., Zapier, Power Automate).		No information available
Regulatory Filing System Connectivity Automate data submissions to regulatory portals.		No information available
Mobile App Synchronization Real-time sync and notifications between desktop and mobile applications.		Mobile access and real-time sync supported across apps.
Data Export Frequency The maximum number of data exports possible per day.		No information available
Supported Integration Endpoints Number of external systems/platforms that can be connected simultaneously.		No information available
Webhook Support Real-time external event notification via webhooks.		No information available
Custom Integration Toolkit Resources for custom integration development (SDKs, sandboxes).		SDKs and custom integration tools available through developer portal.
Audit Logging of Data Transfers Audit trail for all data exchanged with external systems.		Audit logs maintained for all data transactions with external systems.

Data Encryption In Transit Encryption standards applied to data during transmission.		All data is encrypted in transit (TLS, HTTPS).
Data Encryption At Rest Encryption of all stored data in databases and backups.		All data (including backups) encrypted at rest (AES256 or equivalent).
Granular Access Permissions Fine-grained access control for sensitive content.		Fine-grained permissioning down to document/field level.
Data Residency Options Choice of data storage location to comply with national regulations.		Data residency/location configurable by region/jurisdiction.
Penetration Testing Regular independent security testing and vulnerability scanning.		Undergoes regular penetration testing by third parties.
Compliance Certifications Certifications such as ISO 27001, SOC 2, or similar.		Holds multiple certifications (SOC 2, ISO 27001) per NAVEX security disclosures.
Secure Mobile Access Data protection for mobile users and devices.		Mobile data protection and security controls applied for all endpoints.
Disaster Recovery & Backups Automated backup and recovery policies for all data.		Automated backup, redundancy, and disaster recovery processes in place.
Incident Response Procedures Documented and tested plan for managing security incidents.		Documented incident response playbooks and regular testing conducted.
Real-time Threat Monitoring Continuous monitoring and alerting for security events.		24/7 threat monitoring included in managed service offering.
Customer Security Portal A portal for customers to review security operations and documents.		No information available
Privacy by Design Features Design/inclusion of controls to comply with privacy regulations (GDPR, CCPA, etc).		Privacy by design, GDPR/CCPA compliance controls built into platform architecture.
Secure File Transfer Methods for securely transferring files to and from the platform.		Secure file transfer procedures/tech available for sensitive documentation.
Time to Restore from Backup Maximum platform recovery time from backup in case of disruption.		No information available
Physical Security Controls Safeguards for physical data centers (access control, environmental monitoring, etc).		Physical datacenter security meets ISO and SOC physical security criteria.

Intuitive User Interface User-optimized design supporting quick learning and efficient task completion.		User interface is modern and streamlined for non-technical users.
Role-based Dashboards Different dashboards tailored to user roles (trustees, managers, admins, etc).		Customizable dashboards for roles (admin, compliance officer, manager, etc).
Responsive Design Platform adapts to any device (desktop, tablet, mobile).		Web app is responsive for desktop, tablet, and mobile browsers.
Accessible Design (ADA, WCAG) Accessibility and compatibility for users with disabilities.		Platform meets WCAG 2.1 and similar accessibility standards.
Customizable Workflows Users can tailor governance workflows to their organizational needs.		Workflows and dashboards customizable to organizational needs.
In-app Help and Tutorials Built-in user guides, tooltips, and access to help resources.		In-app user help, tutorials, and documentation available.
Live Chat Support Real-time assistance from support staff.		Live chat with support staff as part of customer service tiers.
Email and Ticketing Support Support available via email or online ticket submission.		Email and ticket-based support universally included.
Phone Support Hours The number of hours per day phone support is available.		No information available
Dedicated Account Manager Access to a named support/contact person for enterprise accounts.		Dedicated account managers provided for enterprise clients.
Onboarding & Training Services Structured programs for training new users and facilitating rollout.		Onboarding and user training services available for new clients.
Self-service Knowledge Base Users can search and find solutions to common issues.		Self-service knowledge base accessible in help portal.
Multi-lingual Support Ability to use the platform in multiple languages.		Multiple language support, including documentation and UI.
User Communities or Forums Access to peer support through online communities.		User community/peer forums provided via vendor's user group.
User Feedback Mechanism In-platform tools for submitting ideas and improvement suggestions.		User feedback and continuous improvement submission mechanisms in the platform.

NAVEX One Compliance Management from NAVEX Global

Product analysis by function

Compliance Management for Compliance

Regulatory Compliance Monitoring (7 Yes /7 Known /10 Possible features)

KYC & Customer Due Diligence (6 Yes /6 Known /11 Possible features)

Anti-Money Laundering (AML) (0 Yes /0 Known /11 Possible features)

Audit & Reporting (0 Yes /0 Known /10 Possible features)

Workflow Automation (0 Yes /0 Known /10 Possible features)

User Access & Security (0 Yes /0 Known /10 Possible features)

Data Management & Quality (0 Yes /0 Known /10 Possible features)

Integration & Interoperability (0 Yes /0 Known /10 Possible features)

User Experience & Accessibility (0 Yes /0 Known /10 Possible features)

Training & Knowledge Management (0 Yes /0 Known /10 Possible features)

Continuous Improvement & Risk Management (0 Yes /0 Known /10 Possible features)

Governance Management Platforms for Compliance and Governance

Board & Committee Management (8 Yes /10 Known /15 Possible features)

Policy & Document Management (15 Yes /15 Known /15 Possible features)

Governance Workflow Automation (15 Yes /15 Known /15 Possible features)

Compliance & Regulatory Management (15 Yes /15 Known /15 Possible features)

Decision & Action Tracking (9 Yes /9 Known /15 Possible features)

User & Access Management (14 Yes /14 Known /15 Possible features)

Audit & Evidence Management (14 Yes /14 Known /15 Possible features)

Reporting & Analytics (13 Yes /13 Known /15 Possible features)

Integration & Interoperability (8 Yes /8 Known /15 Possible features)

Security & Data Protection (13 Yes /13 Known /15 Possible features)

Usability & Support (14 Yes /14 Known /15 Possible features)