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Financial Services


The financial service industry continues to address regulatory reform, complex risk management requirements, implementation of cost effective technologies and financial reporting requirements that affect their entire business. Faced with these challenges, financial institutions are being forced to review their business strategies all over the world.

SoftExpert offers the industry's most advanced and comprehensive software suite for compliance and performance management that meets the stringent needs of the financial sector in all aspects from controlling documentation, risks to performance indicator monitoring, projects, assets and much more.

SoftExpert Excellence Suite lowers the cost of regulatory compliance and helps companies in the financial industry maximize success, increase productivity, reduce risk and adhere to various global regulations.

The solution enables companies to continuously improve operations by adhering to various international regulations as well as integrating in a single platform of different management frameworks including; managing risks, audits, processes, assets, documents, performance indicators, and much more.

By offering staff with insight in their role in end-to-end activities, they become better able to recognize opportunities improvement and keep up with the dramatic shifts in the industry's competitive global environment. Powerful support for collaboration with coworkers across organizational boundaries then enables them to play a central role in making smart improvements in the way the organization serves its clients.

SoftExpert Suite simplifies and standardizes excellence and compliance management processes by providing a software platform with a central point of access to all up-to-date process documentation, key performance indicators, related documentation such as policies, templates, procedures and task related applications, as well as an online platform for registering suggestions, risks, complications and initiatives.


With SoftExpert, we were able to significantly reduce the number of printouts, which had a positive impact both financially as well as for our quality and environmental policy. Furthermore, we improved the corrective and preventive action controls, helping us enhance processes and maintain compliance with ISO 9001.

Milady Patricia Zúñiga - Gerente da Quality Manager
Mercado de Valores de Costa Rica


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Business process modeling (BMPN)
Risk assessment
Document security controls
Activity execution
KPI Measuring and monitoring
Audit requirements


  • Flexible framework for performance structure organizing (Balanced Scorecard, Malcolm Baldrige, others).
  • Link measures/KPIs to organizational strategy through objectives.
  • Measurement approvals and authorizations.
  • Personalized Dashboard views for each user.
  • Document organization into nested categories.
  • For maximum security, compresses and password-protects all files prior to their storage in the database or distributed server.
  • Security controls to restrict the ability to copy and print documents.
  • Registration of audit requirements with suggestions that can be printed and used by the auditors during the process.
  • Registration of clients and certifying agencies to carry out second and third party audit.
  • Record of events such as: best practices, opportunities for improvement, observations and nonconformities highlighted during the audit.
  • Risk management application in various departments (environmental, health and safety, normative, nutritive, information security, projects etc).
  • Quantitative and qualitative risk analysis as well as risk matrix.
  • Optimization of productivity and task quality through the use of checklists.
  • Powerful business-oriented modeling tool empowers business users to write, manage, and modify rules to better match business needs.
  • Multi-maps that combine individual process maps into a single map representing the overall business process.

About SoftExpert

SoftExpert is a market leader in software and services for enterprise-wide business process improvement and compliance management, providing the most comprehensive application suite to empower organizations to increase business performance at all levels and to maximize industry-mandated compliance and corporate governance programs.

Founded in 1995, SoftExpert has a rich history of innovation and growth as a true industry leader. More than 300,000 users from 2,000 organizations worldwide trust SoftExpert applications to ensure the highest standards of efficiency, quality and innovation for their products, services and processes.

By streamlining and integrating all levels and operations, SoftExpert applications also enable organizations to address an ever-increasing variety and number of international standards, laws and regulations that affect business operations by delivering enhanced compliance capabilities based on industry-specific best practices.

SoftExpert solutions are used by leading corporations in all kinds of industries, including consumer products, automotive, food and beverage, mining and metals, high tech and IT, energy and utilities, government and public sector, financial services, transportation and logistics, healthcare, education, medical devices and many others.

Along with its extensive network of resellers spread across all continents, SoftExpert also provides hosting, implementation, post-sales support, and validation services for its solutions to ensure that customers realize the maximum value from their investments.

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