About This Automation
Tracking adviser licences and continuing education credits manually across spreadsheets and emails creates compliance risk and consumes significant staff time. Renewal dates slip through the cracks, CE submissions get lost, and audit preparation requires hours of manual data compilation.
Automation monitors licence renewal dates daily, sends reminders automatically, logs CE submissions as they arrive, and generates audit-ready reports on demand. the team focuses on exceptions while the system handles routine tracking and reporting.
Top friction points when done manually
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Automation readiness
How well-suited this process is for automation
How The Automation Works
The full workflow, from trigger to completion.
The automation platform checks the master spreadsheet daily for advisers with licence renewals due within 60 days or CE credits due within 30 days.
An intelligent reviews the spreadsheet data and identifies advisers whose licences or CE credits are approaching expiry, flagging those needing immediate action.
A personalised email is sent automatically to each adviser with an upcoming renewal, including their specific deadline, required documents, and a link to submit evidence.
When an adviser submits CE completion evidence through an automated form, the submission is logged directly and linked to the adviser's record.
The automation platform automatically updates the master spreadsheet with new CE credit hours, completion dates, and recalculates the next renewal date.
A notification is sent to the compliance team summarising the day's updates, any advisers now at risk, and upcoming deadlines for the next 14 days.
On a weekly schedule, the automation generates a formatted compliance report from the spreadsheet and stores it in a shared folder, ready for audits or management review.
Most popular tool stack used
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HubSpot
Gmail
Google Sheets
SlackWhat you get when you map this process
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ROI and business case
What this process costs today and what changes once it's automated.
Launch schedule
What gets built, in what order, and what success looks like once it's live.
Process runbook
How the automation runs day to day, including exceptions and human decision points.
Developer handover pack
Full build spec, logic, and configuration — ready to hand off without a briefing call.
Integration and connections guide
Every tool connection, credential, and data mapping the build needs.
Test and QA plan
Every scenario checked and signed off before the automation goes live.
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Frequently asked questions
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