certa for financial services

Transform TPRM in Financial Services

Financial service companies must manage a vast network of third party relationships with agents, vendors, and more. As companies expand and diversify their offerings, the potential for risk grows, along with increased scrutiny from both domestic and international regulators.



Fortunately, Certa’s AI-powered TPRM solution can help. With Certa, financial service companies can effectively manage third party relationships to mitigate risks, ensure regulatory compliance, and maximize performance—all while enhancing operational efficiency and reducing costs.

Transform TPRM in Financial Services

The future of TPRM is here with Certa’s AI-Powered Operating System

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Design & Maintain
Use AI-powered natural language to create and update rules and workflows, no coding needed
Onboarding, Due Diligence & Periodic Reassessment
Auto-fill vendor questionnaires to minimize their effort and speed up your time to value.
Let AI pre-fill infosec assessments withexisting evidence, reducing cost andmanual effort.
Onboarding, Due Diligence & Periodic Reassessment
Auto-fill vendor questionnaires to minimize their effort and speed up your time to value.
Let AI pre-fill infosec assessments withexisting evidence, reducing cost andmanual effort.
Update & Manage
Get on-demand analysis of third parties, contracts, and documents impacted by evolving requirements

Use Cases

Manage Multiple Risk Factors
Manage relevant risks including infosec/privacy, cybersecurity, BCM/BCP, AML, ABAC, SOX compliance, and country risk.
Assess Risk Across All Third Party Types
Engage all third party types beyond just vendors, including agents, indirect lenders, borrowers, dealers, balance sheet affiliates, and affinity relationships.
Simplify Complex Hierarchies
Maintain an audit trail for all interactions with third parties — ensuring that you stay on top of 4th party risk, concentration risk, and cascading risk.
Simplify Complex Hierarchies
Maintain an audit trail for all interactions with third parties — ensuring that you stay on top of 4th party risk, concentration risk, and cascading risk.

Delivering Quantifiable Results For Financial Services firms

300% Faster Onboarding

A Top 5 EU Financial Service Firm
Reduced onboarding time from 10 weeks to 1 day

50% Higher Efficiency

A large US Financial Service Firm
Automated its bespoke process in Certa in 2 days via Certa AI

Tighter Risk & Compliance

P&C Financial Service Firm in UK
Mitigated regulatory risk exposure in customer onboarding & compliance
Custom Risk Program

Configure Certa to your unique risk needs, whether that’s end-to-end TPRM or a specific anti-bribery check.

Mitigate regulatory risk exposure through automated onboarding for all third parties.

Automatically segment and tier third parties for a risk based approach.

Dynamically generate appropriate due diligence and related controls.

Streamline information security and privacy assessments, reducing manual work.

Ensure resilience to the most timely risks, such as cyber, cloud, and AI risk.

Maintain a thorough business continuity management program to ensure third parties deliver on time.

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Mitigate regulatory risk exposure through automated onboarding for all third parties.
Automatically segment and tier third parties for a risk based approach.
Dynamically generate appropriate due diligence and related controls.
Streamline information security and privacy assessments, reducing manual work.
Ensure resilience to the most timely risks, such as cyber, cloud, and AI risk.
Maintain a thorough business continuity management program to ensure third parties deliver on time.
Centralized Compliance

Centralize your compliance program for all regulations and regulatory bodies, maintaining one source of truth that empowers transparency and efficiency.

Follow specific guidelines provided by bodies such as the OCC, FINRA, FCA, ECB, NYDFS, Interagency and the SFO.

Comply with global and domestic regulations, including GDPR, GLBA, and the Digital Operational Resilience Act (DORA).

Automate PEPs and sanctions screening.

Meet industry standards such as those set by the Office of Thrift Supervision, GESI, and BITS.

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Follow specific guidelines provided by bodies such as the OCC, FINRA, FCA, ECB, NYDFS, Interagency and the SFO.
Comply with global and domestic regulations, including GDPR, GLBA, and the Digital Operational Resilience Act (DORA).
Automate PEPs and sanctions screening.
Meet industry standards such as those set by the Office of Thrift Supervision, GESI, and BITS.
Future-Proof Flexibility

Guarantee that you’ll be covered even as frameworks, regulatory bodies, and internal policies change.

Implement changes quickly with the help of Design AI, which translates business requirements into workflow design.

Maintain full audit trails and documentation to easily defend with evidence.

Easily edit workflows in response to changes to internal policy or personnel.

Efficiently update frameworks and workflows - including Inherent Risk Questionnaires (IRQs) and Due Diligence Questionnaires (DDQs) - to stay aligned with constantly changing regulations and guidance.

Bolster supplier information with federated data from data brokers (e.g., BitSight, Rapid Ratings, Black Kite, Ecovadis, Panorays, Interos, and others).

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Implement changes quickly with the help of Design AI, which translates business requirements into workflow design.
Maintain full audit trails and documentation to easily defend with evidence.
Easily edit workflows in response to changes to internal policy or personnel.
Efficiently update frameworks and workflows - including Inherent Risk Questionnaires (IRQs) and Due Diligence Questionnaires (DDQs) - to stay aligned with constantly changing regulations and guidance.
Bolster supplier information with federated data from data brokers (e.g., BitSight, Rapid Ratings, Black Kite, Ecovadis, Panorays, Interos, and others).

Let's Connect!

Get in touch with one of our Certa experts