Efficiently Manage Multiple Types of Regulatory Engagements

The MetricStream Regulatory Engagement Management App streamlines and automates the process of managing various regulatory engagements, including examinations, meetings, and requests for information. The app supports engagement creation and task management, and captures all regulatory engagement data in a central repository, thereby making it easy to share and access.

Workflows are clearly defined and systematic, thus minimizing any inconsistencies or redundancies. In addition, powerful dashboards, reports, and metric cards provide comprehensive and real-time insights on various engagements, tasks, findings, action plans, and trends, enabling stakeholders to make informed decisions that strengthen the organization’s relationships with regulators. The app is certified for conformance with global accessibility standards and best practices as defined by WCAG 2.1 Level AA and Section 508.

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Enabling High Performers

Responsive and personalized interface designed for regulatory engagement managers

Highly configurable to meet your specific regulatory engagement requirements

Mobile ready, enabling engagement management anywhere, anytime

Real-time risk intelligence and insights for better decisions

Fast, lean, ready for the future


Engagement Planning and Creation

Document various types of regulatory engagements across multiple regulatory authorities and jurisdictions. Record key details such as the regulator name and contact information, country, engagement owners, start dates, and due dates for responses. Map new engagements to existing engagements, as well as the associated regulatory authorities, areas of compliance, risks, and processes. For each engagement, define roles and responsibilities, and map them to the organizational hierarchy.

Task and Sub-Task Management

Create, view, and track tasks and sub-tasks for each regulatory engagement. Maintain all task details, including type, description, request letter deliverables, and task response. Assign tasks to individuals with clearly defined due dates, and trigger automated alerts to keep the process on track. Upload tasks and sub-tasks in bulk using a simple spreadsheet. Create a meeting as a task, and enable task owners to capture details of the proceedings. Map engagement tasks to applicable GRC foundation library data such as regulations, requirements, processes, and risks.

Regulatory Findings Management

Document, manage, and monitor all engagement findings. Summarize the findings, as well as their type (e.g. matter requiring immediate attention), root cause, and owner. Manage, assign, and track action plans to closure. Enable engagement owners to prioritize and assign resources for investigation and remediation using the underlying workflow and collaboration engine.


Collaboration and Document Management

Maintain all first day letters, email records and other relevant material in a central, secure repository. For each engagement, attach multiple documents, including request letters, supervisory letters, findings, evidence of action plans, and previous engagement documents. Search through attachments easily based on type and title. Generate response letters that can be easily extracted to a structured report for regulatory review.

Through the MetricStream app’s pre-built integration with Microsoft Outlook, set up engagement meetings, trigger notifications, and view engagement tasks and meetings from your Outlook application. Ensure that for all assigned tasks, an email is automatically sent to the respective stakeholders, and the task shows up as an appointment in their Outlook calendars.

Dashboards and Reporting

Gain comprehensive visibility into the regulatory engagement process through interactive reports and dashboards with drill-down capabilities. View real-time insights on the number of open engagements, regulatory findings, tasks and action items, engagement trends, and other critical data. Personalize landing pages to view information relevant to your role.

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Key Benefits

  • Strengthen the coordination and tracking of regulatory exams, meetings, investigations, and other engagements across the enterprise
  • Securely organize, store, and access regulatory engagement documentation, task details, and findings
  • Easily manage regulatory engagement meetings, schedules, tasks, and notifications through pre-built integration with Microsoft Outlook
  • Enhance the transparency and accountability of regulatory engagement activities by mapping each engagement to the associated tasks, sub-tasks, dates, owners, and other key details
  • Gain the flexibility to slice and dice regulatory engagement data from various perspectives in order to derive critical trends and patterns

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