Xoralia drives compliance for US financial services
A US financial services firm moved policy management from legacy systems to Xoralia inside Microsoft 365.
Financial services & banking
Financial services policy management software for modern institutions
Financial services organisations face relentless regulatory change, operational complexity, and the ongoing challenge of managing risk, data privacy, and compliance across multiple jurisdictions. Xoralia's policy management software is purpose-built for financial institutions such as banks, asset managers, wealth managers, credit unions, and fintechs who need to automate policy processes, ensure audit readiness, and foster a culture of accountability, all within your existing Microsoft 365 and SharePoint environment.
What financial services organisations need in policy management
01
Comprehensive policy lifecycle automation
Financial institutions must manage a complex array of policies and procedures across departments, branches, and regions, often under tight regulatory scrutiny. Effective and efficient policy management requires: Easy creation, review, approval, and distribution of policies, with automated version control and expiry reminders. Customisable workflows and notifications to keep processes moving and reduce manual intervention. Centralised, structured policy libraries with custom metadata and taxonomy for easy search and retrieval, avoiding SharePoint folder clutter.
02
Regulatory compliance, audit readiness, and reporting
With an ever-evolving array of stringent regulations such FSMA, SOX, GDPR, MiFID II, AML, KYC, audit readiness and regulatory reporting are critical. Your policy management solution should: Maintain detailed audit trails and compliance logs for every policy action, supporting evidence-based compliance. Generate real-time, exportable reports for internal and external audits, and regulatory reviews. Support multi-jurisdictional compliance and help you keep pace with frequent regulatory updates.
03
Staff engagement, attestation, & accountability
Ensuring every employee understands, acknowledges, and adheres to key policies is essential in financial services. Your platform should: Assign policies to relevant staff and track electronic acknowledgements, with automated reminders for outstanding actions, and escalations to line managers and upwards. Offer intuitive attestation workflows and compliance dashboards, accessible from any device. Enable compliance knowledge testing and reporting to demonstrate staff understanding and reduce risk.
04
Seamless integration, security, & data privacy
Financial institutions rely on secure, integrated systems to protect sensitive data and maintain operational resilience. Your policy management software should: Integrate natively with Microsoft 365, SharePoint, Teams, and other enterprise tools, supporting single sign-on (SSO). Offer robust role-based access controls, data encryption, and audit-ready access logs to support GDPR and data privacy requirements. Enable smooth data migration and interoperability with other compliance and banking systems.
05
User-friendly experience, cost-effectiveness, & support
Adoption and compliance depend on usability, efficiency, and value. Look for: An intuitive, easy-to-learn interface for all staff levels, minimising training needs. Responsive customer support, onboarding assistance, and ongoing updates to keep pace with regulatory change. A simple, transparent and cost-effective pricing model that can flex and grow with your business without causing budget issues.
How Xoralia uniquely meets the needs of financial services
End-to-end policy automation & SharePoint enhancement
Xoralia streamlines your entire policy lifecycle with customisable, automated workflows, notifications, and centralised document management. Our platform enhances SharePoint by providing structured taxonomy, robust version control, and automated review, approval, and expiry processes - eliminating manual errors and folder chaos.
Audit-ready compliance & regulatory reporting
Xoralia maintains comprehensive audit trails for every policy action, supports multi-jurisdictional compliance, and generates real-time, exportable reports for just-in-time audits. Our solution is designed to help you stay ahead of audits, inspections, and regulatory changes.
Staff attestation, knowledge testing, & accountability
Assign policies to staff, track acknowledgements, and monitor compliance with user-friendly, mobile-responsive attestation workflows. Built-in knowledge testing and compliance dashboards provide clear visibility of staff engagement and understanding, supporting both internal controls and external regulatory demands.
Deep Microsoft 365 & SharePoint integration
Leverage your existing Microsoft infrastructure for secure, scalable policy management. Xoralia integrates seamlessly with SharePoint, Teams, and Microsoft 365, supporting single-sign-on and ensuring rapid adoption with minimal disruption. Our solution is designed to enhance - not replace - your Microsoft 365 investment.
A policy library that is centralised yet also personalised for every user
Ensure a single source of truth for all your policies, decluttering the experience and enhancing findability. Xoralia's granular permissions and tailored pages suit every audience in your business, no matter the role, department or location. Have confidence that staff are only accessing the latest, relevant documents.
Rapid implementation, cost-effectiveness, & proven results
Xoralia's Microsoft-based architecture enables quick deployment and easy scaling as your organisation grows. Financial services clients report improved, measurable compliance, reduced administrative burden, and greater staff accountability - all with transparent, cost-effective pricing suitable for small to mid-sized organisations.
Why leading financial services organisations choose Xoralia
Purpose-built for financial compliance
Enhances Microsoft 365 and SharePoint
Exceptionally easy to use
End-to-end policy automation
Audit-ready compliance
Improves staff accountability
Centralised
Cost-effective & scalable
Trusted by industry leaders
Case studies
Frequently asked questions
What regulations does Xoralia support?
Xoralia helps financial institutions comply with FCA, SOX, GDPR, MiFID II, AML, KYC, and other industry-specific standards.
How does Xoralia support audit readiness and regulatory reporting?
With detailed audit trails, real-time compliance tracking, and exportable reports, Xoralia makes it easy to prepare for and pass regulatory audits and respond to regulator requests.
Can Xoralia integrate with our existing financial and compliance systems?
Yes, Xoralia offers deep integration with Microsoft 365, SharePoint, Teams, and supports API connections for interoperability with other enterprise, compliance, and banking systems.
Does Xoralia support multi-site or multi-jurisdictional organisations?
Absolutely. Xoralia is designed to support complex, multi-site and multi-jurisdictional financial institutions with centralised management and distributed access.
How does Xoralia address data privacy and cybersecurity?
Xoralia provides robust role-based access controls, encryption, and audit-ready access logs to support GDPR, data privacy, and cybersecurity requirements.
What our clients say
G2 review
Real value to our business in a short space of time
“Working in a highly regulated financial services sector, we are required to ensure that our staff fully understand certain policies and Xoralia enables us to do that with an embedded quiz as part of the attestation.”
Anonymous
Financial services
G2 review
Easy to use policy management tool
“It's easy to use and offers a large amount of flexibility on tagging sorting and filtering our policies. With SharePoint integrated in our estate already it was releatively easy to set up and any feedback we sent over to the Xoralia team was listened to and fedback on.”
Anonymous
Insurance company
G2 review
We now know where our policies and procedures are located
“Xoralia has helped us with updating and change management of company policies and procedures. Tracking changes, timely reviews/approvals and accessibility all in one place. We have had great customer support and timely communications concerning updates or needed actions. We highly recommend.”
Jessica G
Internal Audit Director