Optial Automates Compliance Checklists for Professional Services Firm

Optial has successfully delivered another significant software enhancement for a long-standing British-American professional services client. The firm, which manages risk and compliance for over 1,500 insurance clients, has partnered with Optial since 2013 to capture, track, and deliver ongoing feature requests and system improvements. Each year, Optial works closely with the firm to review priorities and implement a major release aligned with evolving business and regulatory requirements.

Automatically generate compliance checklists attached to controls

Smarter Compliance Through Automated Checklists

The key improvement in this year’s release is the ability to automatically generate compliance checklists attached to controls. These checklists—fully configurable and managed by the client—can be scheduled to appear at regular intervals or created on an ad-hoc basis. This provides greater flexibility, consistency, and efficiency in control monitoring and assessment, streamlining oversight and reducing manual effort.

Other Key Enhancements

In addition to automated checklists, the release included:

• Streamlined risk register and assessment workflows for faster, more accurate risk management.

• Expanded scheduling options for control activities, giving teams greater flexibility.

• Workflow improvements reflecting changes in core business processes.

• Additional fields and forms to support evolving data capture needs.

• Enhanced reporting tools with new and updated reports.

• Refined user roles and permissions for stronger governance.

• Client-specific UI and dashboards, delivering a more tailored experience.

A Decade of Partnership

This release marks another milestone in a partnership spanning more than a decade. By collaborating closely with clients to capture feedback and anticipate regulatory change, Optial ensures its solutions remain flexible, configurable, and responsive to both client needs and industry demands.