Compliance and recordkeeping in finance brokerages requires capturing client interactions, filing documents, and verifying regulatory requirements. Manual logging, scattered file storage, and reactive audit compilation consume significant staff time and create audit risk.
Automation captures interactions in real time, validates compliance status continuously, and generates audit reports on demand. the team redirects hours from administrative work to client service.
The full workflow, from trigger to completion.
Email arrives in broker inbox or message is posted in client channel. The automation platform monitors these inboxes and channels for new messages.
The automation parses email or message to extract client name, date, interaction type, and summary. Attachments are identified and flagged.
Extracted details are automatically written as a new activity record linked to the client contact, with timestamp and full audit trail.
Attachments and related files are automatically moved to the correct client folder, with consistent naming and version control.
The automation checks the client record against the regulatory checklist, comparing required documents and approvals against what is now on file.
If yes, the record is marked complete. If no, a notification is sent to the compliance officer with a list of missing items.
Message is sent to the compliance officer with a summary of missing items and a link to the client record.
On demand or on a monthly schedule, the automation platform queries and to compile a timestamped audit report with all interactions, documents, and compliance status. Report is saved and marked ready for review.
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