Compliance Workflows
The compliance lifecycle,
automated
Six core workflows that take regulated firms from initial regulatory scoping through risk assessment, control design, ongoing assurance, and board-level reporting - each powered by intelligent agents.
No sales pitch
30-min walkthrough
ISO 27001
Stage 01
Strategic Planning
Scan the horizon, prioritise action - agents continuously monitor the regulatory landscape and surface what matters to your firm.
Regulator Radar
Urgent
Basel IV
MiFID III
ESG Regs
FCA Update
DORA
High
Medium
Low
Prioritised Action Plan
5 ITEMS
1
DORA compliance gap analysis
high
Operational resilience tight 2026 deadlines
2
FCA policy update review
high
Latest policy statement requires reassessment.
3
Basel IV capital modelling
medium
Capital modelling refresh – 12-month plan.
4
MiFID III reporting preparation
medium
Reporting changes – preparation phase.
5
ESG disclosure framework
low
Disclosure framework – under review.
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HORIZON
Horizon Scanning
Continuous monitoring of regulatory developments across jurisdictions. Changes are tracked, classified and prioritised for review.
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IMPACT
Impact Assessment
Agents assess regulatory changes against your firm's policies, processes and controls, suggesting prioritised action plans.
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SCENARIO
Scenario Modelling
Model the impact of proposed regulatory changes before they take effect. Understand resource implications and timeline requirements.
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PRIORITY
Prioritised Actions
From critical and urgent, to low priority monitoring items - every regulatory development is categorised and tracked to resolution.
02
STAGE 02
Applicability by Regime
Map regulations to your business. Agents suggest which regulatory requirements apply to which business activities across your organisation based on your organisation structure and permissions - agents suggest, you decide.
Regulatory Applicability Matrix
Tap a row or column to filter
✓ Applicable
— Not applicable
REGULATION
Retail Banking
Wealth Mgmt
Asset Mgmt
Treasury & Markets
Insurance
FCA SYSC
✓
✓
✓
✓
MiFID II
✓
✓
✓
Basel III/IV
✓
✓
DORA
✓
✓
✓
✓
✓
ESG / SFDR
✓
✓
✓
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Mapping
Regulatory Mapping
Suggested mappings of regulatory requirements to business lines, products, and activities. Gaps and overlaps highlighted for your review.
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JURISDICTIONS
Multi-Jurisdiction
Handle requirements across multiple regulatory authorities simultaneously. One view of your total regulatory perimeter.
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CHANGE
Change Propagation
When regulations change, the applicability matrix is flagged automatically. New requirements alter for human applicability review for a smooth and consistent workflow.
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EVIDENCE
Evidence Trail
Every applicability decision is documented with the rationale, the source regulation, and the business context that informed it.
Your compliance team approves all applicability decisions for full accountability - agents suggest, you decide.
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→
03
Stage 03
Risk & Control Assessment
Evaluate risks. Validate controls. Agents systematically assess your control environment against regulatory requirements.
Risk and Control Heatmap
Critical
High
Medium
Low
Rare
Unlikely
Possible
Probably
Likely
LIKELIHOOD
IMPACT
R-04
CRITICAL
Third-Party ICT Risk
Gap identified - remediation needed
R-12
HIGH
AML Transaction Monitoring
Control weakness – review recommended
R-07
LOW
Data Privacy Controls
Strong control – no action required
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ASSESSMENT
Risk Identification
Systematic identification and categorisation of compliance risks. Each risk linked to specific regulatory requirements and business activities.
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CONTROLS
Control Mapping
Map controls to risks and regulations. Agents identify gaps, redundancies, and areas where control effectiveness needs validation.
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TESTING
Control Testing
Automated and structured control testing with evidence collection. Results feed directly into your risk and control assessments.
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REPORTING
RCSA Automation
Risk and Control Self-Assessment workflows run continuously. Your issues log feeds into your risk scoring so your heat maps are always comprehensive and audit-ready.
Risk and Control Self-Assessment workflows run continuously, with your risk team reviewing and approving results at every cycle.
See How Controls Are Assessed
STAGE 04
Policy & Control Refinement
Update policies. Strengthen controls. Agents identify where policies need updating and track changes through approval workflows.
Incident Response Policy
3.1
Response Timeframes
Critical incidents must be escalated within 5 business days of initial detection.
3.2
Review Frequency
Control effectiveness reviews shall be conducted on a quarterly basis.
3.3
Monitoring & Alerts
Manual threshold checks to be performed by the operations team during business hours only.
APPROVAL FLOW
Outsourcing Policy v3.4
AI Agent
2h ago
Drafted update from DORA Art. 28(3)
Risk Team
40m ago
Internal review & comments
Head of Compliance
Awaiting
Approve material change
Board Risk Committee
Queued
Final sign-off
Incident Response Policy
3.1
Response Timeframes
Critical incidents must be escalated within 2 business days of initial detection.
3.2
Review Frequency
Control effectiveness reviews shall be conducted on a monthly basis.
3.3
Monitoring & Alerts
Manual threshold checks to be performed by the operations team during business hours.
APPROVAL FLOW
Outsourcing Policy v3.4
AI Agent
2h ago
Drafted update from DORA Art. 28(3)
Risk Team
40m ago
Internal review & comments
Head of Compliance
Awaiting
Approve material change
Board Risk Committee
Queued
Final sign-off
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DRAFTING
Policy Gap Analysis
Agents continuously check policies against current regulatory requirements and flag where updates are needed.
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CONTROLS
Tracked Changes
Agent-recommended policy updates with full version control. Every change is tracked, attributable, and reversible.
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GOVERNANCE
Approval Workflows
Structured approval processes route changes to the right reviewers. Sign-off at every stage is captured and evidenced.
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ALIGNMENT
Distribution & Acknowledgement
Updated policies are distributed automatically to affected staff, with acknowledgement tracking built in.
Agents draft. Your compliance and legal teams approve. Nothing changes without human sign-off.
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STAGE 05
Continuous Assurance
Prove compliance. Continuously. Automated and manual assurance methods — all feeding into a single, unified view.
ASSURANCE EVIDENCE COLLECTION
Two channels · one unified view
Refreshed continuously
AUTOMATED ASSURANCE
API Endpoint
RESTful data feeds
System Log
Audit trail ingestion
Webhook Feed
Event-driven triggers
COLLECTED
automatically
MANUAL ASSURANCE
Attestation Form
Self-certification evidence
Workflow Approval
Multi-stage sign-off
Checklist
Step-by-step verification
COLLECTED
manually
UNIFIED ASSURANCE DASHBOARD
All evidence in one view
3
AUTOMATED SOURCES
3
MANUAL SOURCES
100%
CONTROL FRAMEWORK
LIVE
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Automated Assurance
API integrations, webhook feeds, and system logs flow automatically into the platform. Real-time compliance data without manual effort.
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Manual Assurance
Attestation forms, checklists, and workflow approvals for processes that require human judgement or physical verification.
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Unified Dashboard
All evidence - automated and manual, visible in one place. Complete picture of your compliance posture at any moment.
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Continuous Monitoring
Compliance status updated in real time. Deviations trigger alerts immediately, not at the next quarterly review.
Automated evidence is validated by your team. Manual attestations capture what only humans can verify.
See How Evidence Feeds Into Reporting
Stage 06
Evidence & Reporting
Report to those who need to know. Tailored outputs for committees, boards, auditors, and regulators - all from a single evidence base.
Governance
- Committee packs
- Risk summaries
- Action tracking
AUTO-GEN
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Board
- Board reports
- KRI dashboards
- Trend analysis
AUTO-GEN
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Auditor
- Audit trails
- Evidence packs
- Control testing
ON-DEMAND
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Regulator
- Regulatory returns
- Data submissions
- Compliance evidence
SCHEDULED
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Ruleguard Platform
Evidence Engine
Centralised compliance intelligence
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BOARD
Board Reporting
Board reports, KRI dashboards, and trend analysis. Clear, concise, and always current.
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REGULATOR
Regulatory Returns
Data submissions, regulatory returns, and compliance evidence. Structured for each regulator's requirements.
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AUDITOR
Audit Evidence
Immutable, time-stamped record of every decision and approval. When the regulator asks, you have the answer in seconds.
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GOVERNANCE
Governance Committees
Committee packs, risk summaries, and action tracking. Everything your governance committees need, assembled automatically.
Your agents learn from your team's corrections, your policy updates, and your outcome reviews. The intelligence is yours, the agent just scales it.
The Platform Behind The Workflows