Document and evidence production requires compliance teams to manually collect, organize, and track client documents across multiple emails and folders. This manual coordination creates delays, lost files, and repeated follow-up requests that consume weeks per engagement.
Automation captures documents directly from email, validates them, organizes them into the correct folder structure, and updates tracking records in real time. The compliance team receives a complete, verified evidence pack ready for review within days instead of weeks.
The full workflow, from trigger to completion.
A new compliance engagement is marked as approved in the project management system or a document request list is created.
The automation sends a templated document request email to the client contact address, including the list of required documents, deadlines, and submission instructions.
The automation monitors the shared inbox for incoming emails from the client and extracts attachments as they arrive.
The automation reviews each attachment, validates the file type and size, extracts metadata, and checks the document against the required list.
The automation moves validated files to the correct folder, renames them according to the firm's naming convention, and creates a folder structure by category.
The automation updates an record to log each received document, including the date, file name, category, and status.
The automation compares received documents against the required list and sends a notification to the manager listing any outstanding items.
Once all documents are received or the deadline passes, the automation generates a summary report in PDF format listing all documents, their locations, and any gaps.
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