Audit & Supervision File Review

A new audit or supervision file review is created in the case management system or compliance tracking tool. The automation is triggered with the audit type, client name, and required documents list.

The automation searches, email,, and for documents matching the audit type and client. Files are automatically downloaded and organized into a standardized folder structure.

The automation evaluates each document against the compliance checklist for the audit type. It checks for required fields, expiration dates, certifications, and regulatory requirements, flagging any gaps or non-compliant items.

If all documents pass compliance checks, the file proceeds to approval routing. If gaps are found, the automation routes to exception handling.

For any missing or non-compliant documents, the automation sends a templated email to the client or partner requesting the missing items and setting a deadline.

The automation sends the compliant file to the assigned partners or supervisors, with a pre-populated approval form and deadline. Signers receive a notification in their email and can sign electronically.

The automation tracks signature status and sends automated reminders to any signers who have not approved within 2 business days.

Once all signatures are collected, the automation consolidates the signed file, archives it, and updates the case status to mark the audit as complete.