Financial services policy management software

Financial services and banking industry

Policy management software and compliance solution for the financial services and banking industry

Financial and banking compliance needs

The financial services industry face ever growing pressure and scrutiny to comply with a wealth of laws and regulations that develop and change at a rapid pace, all of which carry serious legal or financial penalties for non-compliance.

All sectors within the financial industry, including banks, investment houses, lenders, finance companies, real estate brokers, and insurance companies, must follow local, state and federal regulations that determine who can conduct financial services business and how authorised firms must do so, in addition to meeting industry and workplace standards.

Helping to meet compliance

Xoralia policy management software has been designed to streamline and automate the workflow of policy and procedure documents within financial services organisations, helping them to meet their compliance regulations and mitigate risk.

When ready for release, policy owners can set up and associate policy documents with specific individuals and tagged groups, so that they receive automatic notifications and reminders to read and acknowledge a policy. Users can then electronically attest to reading the policy and can even be tested on their knowledge to ensure that they have fully understood the contents.

Notifications can be accessed via email or Microsoft Teams and managers can easily view who has responded and actioned a mandatory policy read request, and who still needs to complete it. All activity is automatically tracked in a downloadable report that can be used to audit compliance.

Best policy management software for the financial services and banking sector

Xoralia policy management software is a powerful and intelligent solution that makes it easy to administer and automate the policy document lifecycle and has been specifically built for Microsoft SharePoint, Office 365 and Teams, so that financial services and banking organisations can easily integrate it with their existing systems.

Everyone benefits

Xoralia benefts everyone one involved in the policy management process, making policy information and documents more accessible to all who need them.


Policy users can easily find the policies and documents that are relevant to their role, and have an easy, electronic way of reading and acknowledging mandatory policies through Xoralia's 'Easy attestation' feature.

Legal and HR

Departments responsible for legal, compliance or governance can be involved in creating and reviewing policies, and benefit from a streamlined, automated and easy to administer policy management process that can improve compliance and mitigate risk.

Regulators and auditors

Xoralia software not only keeps policy documents organised and up-to-date in one centralised location, but also automatically records dissemination and attestation activity, meaning there is a clear audit trail for regulators.

IT department

Once set up, Xoralia software requires very little, if any IT resource. The software is very easy to use for both policy managers and users, and has automated systems that can save admin time and improve accuracy and efficiency.


Frequently asked questions about our policy management software for the financial services and banking sector.

Yes. Installation typically takes less than 15 minutes and only involves you accepting the Enterprise Application that we will provide you with at the time of setup. If you’d like more information, please contact our support team to find out more.

Yes, Xoralia can be accessed and used on both desktop and mobile devices.

Yes, Xoralia has been built specifically to work with SharePoint and Microsoft 365 and requires an Azure AD account.

At no point does Xoralia consume or store the contents of any documents stored on SharePoint or any other platform. Xoralia only stores the names of people who are assigned documents or those who have some sort of privileged access such as document owners, Xoralia admins etc.

You can read more about Xoralia data storage and backup here.
The Xoralia application infrastructure has been built with security at the forefront. All Azure services that are utilised are protected by both Azure Application Gateway Web Application Firewalls and Azure Virtual Networks. This ensures that only valid, secure traffic is passed on to Xoralia web apps and APIs.

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