The Compliance Tools station focuses on the systems, registers, and tracking mechanisms that underpin a legal team’s ability to manage compliance effectively. These tools are the operational backbone of any compliance function - enabling visibility, control, and accountability across the legal risk landscape.

Without the right tools, compliance becomes guesswork. Legal teams must rely on structured systems to record obligations, monitor performance, track breaches, and generate audit trails. These tools ensure that compliance activities are not only carried out but can be evidenced - a critical requirement for internal governance and external scrutiny.

This station also lays the groundwork for automation and analytics. By digitising compliance processes, legal teams can reduce manual effort, improve data accuracy, and unlock insights that support strategic decision-making. Whether it’s a risk register, a policy tracker, or a breach reporting system - the right tool makes the difference between reactive compliance and proactive assurance.

Ultimately, this station transforms compliance from a paper-based burden into a digitally enabled capability that supports speed, scale, and certainty.

The scope of the Compliance Tools station includes:

◼️Compliance obligation registers and tracking systems

◼️Breach reporting and incident management platforms

◼️Policy management and version control tools

◼️Risk assessment and mitigation tracking

◼️Audit trail generation and evidence capture

◼️Regulatory reporting and disclosure systems

◼️Integration with enterprise GRC platforms

◼️Automation of routine compliance workflows

In GLS legal ops speak – the Compliance Tools is considered a “Foundational” resource within the process ecosystem of an in-house legal team.

The Foundational Resource is a CRE that is responsible for determining the overall performance capabilities of a “critical” legal function. If it is not optimised, the function can never be optimised. 

The best practice features of the GLP are as follows:

◼️A centralised compliance platform with modular functionality

◼️Real-time dashboards for compliance status and metrics

◼️Automated alerts and reminders for key compliance deadlines

◼️Secure audit trails for all compliance actions and decisions

◼️Integration with legal, risk, and governance systems

◼️Role-based access controls and user-friendly interfaces

◼️Analytics capabilities to identify trends and gaps

◼️Mobile and remote access for distributed teams

The Compliance Tools station delivers the following value to the Business:

◼️Reduces compliance failure risk through structured tracking

◼️Saves time by automating routine compliance tasks

◼️Enables faster reporting and decision-making

◼️Improves data accuracy and audit readiness

◼️Enhances transparency and stakeholder confidence

◼️Supports scalability of compliance operations

For the legal team, this station provides:

◼️A single source of truth for compliance activities

◼️Improved efficiency and reduced manual workload

◼️Greater visibility into compliance performance

◼️Easier collaboration with other business functions

◼️Stronger defensibility in case of regulatory scrutiny

◼️A platform for continuous improvement and innovation

The Compliance Tools station is essential for:

◼️Legal Department Leadership

◼️Compliance Officers

◼️Risk Management Teams

◼️Internal Audit Functions

◼️Legal Operations Professionals

◼️Fragmented and inconsistent compliance tracking

◼️Increased risk of missed obligations and breaches

◼️Time-consuming manual reporting processes

◼️Difficulty generating audit-ready documentation

◼️Limited visibility into compliance performance

◼️Reduced ability to scale compliance operations

This station is inherently technology-driven. It requires the deployment of digital platforms that can manage compliance data, automate workflows, and generate actionable insights. Integration with broader enterprise systems (e.g., GRC, ERP, document management) is essential to ensure consistency and reduce duplication. The tech profile of this station is high - and its success depends on selecting tools that are fit-for-purpose, scalable, and user-friendly.