Records and evidence
Breach files, attestations, approvals and committee packs assembled as the work happens, in a form that stands up eighteen months later.
Most compliance evidence is created twice. Once when the work is done, informally, in email and spreadsheets. Then again when someone needs to produce it for an audit, a due diligence questionnaire or a regulator, at which point somebody spends a week reconstructing what happened from fragments.
We build the record at the point of work. A breach is raised, and the file assembles itself: the trigger, the affected portfolios, the guideline it relates to, the source document, the analysis, the correspondence, the decision, the rationale, the sign-off, and the timestamp on each. The compliance officer writes the analysis and makes the decision. Everything around it is collected automatically.
The same applies to attestations, approvals, conflicts logs and committee reporting. The pack is generated from the underlying records rather than typed up from them.
What you get
- Breach files that assemble themselves, with a fixed structure and complete chronology
- Draft narrative prepared from the record, for the compliance officer to edit and approve — never issued unreviewed
- Attestation and approval workflows with automatic chasing and a completion record
- Committee and board packs generated from source, with figures traceable to where they came from
- A single searchable evidence store, retention-aware, with export for audit and DDQ responses
Illustrative example, not a client engagement.
A firm receives an operational due diligence questionnaire asking for evidence of guideline breach handling over the past two years. Previously: a fortnight of retrieval across email, a shared drive and the monitoring system. With the evidence store in place: a filtered export, reviewed and redacted by the compliance officer, produced the same day.