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ConnectRMS Intelligent Receivables Management

Compliance · Platform capability

Compliance at the point of action.

ConnectRMS Compliance brings consumer protection, oversight, evidence, and controlled workflows into the connected operating environment where receivables work happens — instead of treating compliance as an after-the-fact checklist.

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Compliance Operating Model

Built into the work. Connected to the evidence.

Compliance is part of the work itself: activity on the account passes through controls and workflows, and the result is connected evidence and oversight — in the same operating environment.

Consumer Protection Workflows

Conditions that change the work.

When an account carries a consumer protection condition — such as a dispute, hardship, fraud, representation, bankruptcy, or communication restriction — that condition should shape what happens next and stay visible to everyone handling the account.

Consumer protection workflows are part of the connected workspace. Handling of specific conditions is designed to support controlled workflows; the degree of automation varies by condition, release, and configuration.

Audit Management

Bring audits into a controlled workspace.

Audits and quality oversight are part of ConnectRMS Compliance. Audit management is designed to bring requests, evidence, ownership, findings, responses, documentation, and history into one controlled workspace.
  • Client audits
  • Regulatory & state audits
  • Internal reviews

Audit workflow · illustrative

  1. 1

    Request

  2. 2

    Scope

  3. 3

    Evidence

  4. 4

    Review

  5. 5

    Findings

  6. 6

    Response

  7. 7

    Completion

Instead of coordinating across

  • Email threads
  • Spreadsheets
  • Shared folders
  • Separate account systems

One controlled workspace

  • Requests
  • Evidence
  • Ownership
  • Findings
  • Responses
  • Documentation
  • History

Complaints & Disputes

Complaints and disputes, handled as controlled workflows.

Complaint oversight is part of Compliance, and disputes and complaints are managed in Administration & Client Services. Together, they're designed to carry each case from capture to completion with ownership and a traceable record.

  1. 01

    Capture

    The complaint or dispute is recorded against the account.

  2. 02

    Investigate

    Supporting documentation and account history are gathered.

  3. 03

    Resolve

    The outcome and resolution information are recorded.

  4. 04

    Respond

    Required consumer and client communications and updates are addressed.

  5. 05

    Complete

    The case is closed with its record intact.

Across every step

  • Clear ownership
  • Supporting documentation
  • Resolution information
  • Consumer & client response requirements
  • Traceability

Illustrative workflow. ConnectRMS does not make regulatory determinations; response timing and requirements are defined by each organization, its clients, and applicable rules.

Evidence & Traceability

The evidence should travel with the work.

Evidence and documentation are part of Compliance, and audit trails support traceability across the platform. ConnectRMS is designed so the related activity, documents, and decisions form one connected record.
  • Supports investigation
  • Supports review
  • Supports audit preparation

Client & Regulatory Oversight

A workspace for the people accountable.

Compliance gives oversight teams an operational workspace for the responsibilities they manage. It supports the work of compliance professionals; it doesn't provide legal advice or determine whether an organization is compliant.

  • Client audit preparation

    Organize requests, evidence, and responses for client audits.

  • Regulatory & state review preparation

    Designed to support preparation of documentation and history for regulatory and state reviews.

  • Internal compliance review

    Run internal reviews and quality oversight within the platform.

  • Complaints

    Oversee complaint handling, ownership, and outcomes.

  • Exceptions

    Track service and workflow exceptions for review.

  • Evidence collection

    Gather documentation connected to the related account activity.

  • Findings & remediation tracking

    Designed to support tracking findings through remediation and completion.

Connected Across ConnectRMS

Compliance isn't a separate system.

Compliance is part of ConnectRMS, working from the same accounts, data, workflows, and controls as the rest of the platform.

Stella in the compliance operation

  • Relevant guidance in the context of the work
  • Workflow assistance
  • Surfacing relevant account and case information
  • Evidence organization
  • Operational insight

Where supported by the platform. Stella doesn't interpret law, make legal determinations, or replace compliance professionals. Capabilities vary by release and configuration.

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Industries

Compliance & Security

Security protects the operating environment. Compliance supports controlled operational processes within it.

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ConnectRMS provides technology and workflow capabilities designed to support compliance operations. It does not provide legal advice or guarantee compliance with applicable laws, regulations, contractual requirements, or client policies.

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Bring compliance into the connected operation.

Explore how Compliance works within the connected platform, or talk with our team about your compliance operation.

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