Compliance monitoring and reporting

Step-by-Step Breakdown

Detailed explanation of each automated stage in the workflow.

1. 1

   Trigger

   Initiate daily compliance scan

   Scheduled trigger activates daily compliance monitoring process across all client accounts and portfolios. System begins comprehensive review of trading activity and portfolio positions.

   n8n scheduler
2. 2

   Action

   Extract portfolio and trading data

   Retrieves current portfolio positions, recent transactions, and client profile data from portfolio management system. Collects all relevant account activity from previous 24 hours.

   OrionSalesforce Financial Cloud
3. 3

   Action

   Run compliance rule engine

   Executes automated checks against regulatory requirements including concentration limits, suitability rules, and trading restrictions. Analyzes portfolio drift and investment policy compliance.

   Riskalyze
4. 4

   Decision

   Evaluate compliance violations found

   Determines if any compliance violations or exceptions were detected during the automated review process. Routes workflow based on severity and type of issues identified.

   n8n decision node
5. 5

   Action

   Generate violation alerts and tasks

   Creates immediate alerts for compliance team and assigns remediation tasks to appropriate advisors. Documents violations in CRM with required follow-up actions and deadlines.

   Redtail CRMSalesforce Financial Cloud
6. 6

   Action

   Compile compliance summary report

   Aggregates all compliance findings into standardized daily report format. Includes violation summaries, portfolio compliance scores, and trending analysis.

   Orion
7. 7

   Output

   Distribute compliance reports

   Sends completed compliance reports to management team and compliance officers via email. Archives reports in centralized compliance repository for audit trail.

   EmailSalesforce Financial Cloud

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