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Automated Compliance Mock Audit Checklists

Every Monday, WebRun opens ComplySci for every client on your book, checks attestations, trade pre clearances, restricted list currency, and gift log status against your standing mock audit checklist, logs every gap it finds to Google Sheets, and posts your team a Slack readiness summary by client.

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Runs on WebRun · Strict Lockdown policy
Every Monday at 9:00 AM WebRunorchestrates each step
1 ComplySci (COMPLY) check the compliance program against the checklist
2 Google Sheets log every gap by client
3 Slack post the readiness summary
In short

How do I keep every RIA client's compliance program exam ready between actual audits?

WebRun checks every client's compliance program in ComplySci each Monday against your standing mock audit checklist: attestations completed, trade pre clearances logged, restricted list current, and gift log up to date. It logs every gap it finds to Google Sheets and posts your team a Slack readiness summary by client, so your whole book stays exam ready year round.

  • Every client's compliance program gets checked weekly, not just before an exam
  • Every gap is logged with exactly what is missing and for which client
  • Closed gaps stay closed instead of getting re flagged the next week

Built for investment adviser compliance consultants · outsourced chief compliance officers · RIA compliance teams · broker-dealer compliance officers

Step by step

What does WebRun do on every run?

The exact actions WebRun takes, in order - in plain language, so you can adjust anything.

  1. WebRun signs in and gets to work

    Opens app.comply.com in a real browser with your saved login - no setup, no API keys.

  2. 1
    ComplySci (COMPLY) - check the compliance program against the checklist
    comply.com
    WebRun in ComplySci (COMPLY): check the compliance program against the checklist
    WebRun opens ComplySci (COMPLY) to check the compliance program against the checklist.
    • Open ComplySci and pull each client's compliance program status
    • Check attestations completed, trade pre clearances logged, restricted list current, and gift log up to date against your mock audit checklist
    • Read status only. Never edit or clear a compliance record

    Done when Every client's program has been checked against the full mock audit checklist.

  3. 2
    Google Sheets - log every gap by client
    google.com
    WebRun in Google Sheets: log every gap by client
    WebRun opens Google Sheets to log every gap by client.
    • Open the shared mock audit tracker
    • Add a row for each client with any checklist item marked as a gap
    • Keep a running log so gaps closed last week are not re flagged

    Done when Every gap found this week is logged against its client and checklist item.

  4. 3
    Slack - post the readiness summary
    slack.com
    WebRun in Slack: post the readiness summary
    WebRun opens Slack to post the readiness summary.
    • Post a readiness summary of clients checked and gaps found
    • List the client and the missing item for every gap
    • Flag any client with more than one open gap as higher priority

    Done when Your team has this week's client readiness summary in Slack.

Run settings

How is each run configured?

Starting pageWhere Chrome opens at the start of each run
app.comply.com
ScheduleRuns automatically on this cadence
Every Monday at 9:00 AM
DeliveryHow each run's result reaches you
Client readiness checklist · Slack
OutputWhat each run produces - A weekly log of each client's compliance program checked against your mock audit checklist, with every gap named.
Checklist
Setup & safety

Secure by default

Connect once, stays signed in

WebRun signs in once and keeps each session in a persistent environment, so every run picks up right where it left off.

Your credentials stay in your own private environment - WebRun never stores your passwords.
Strict Lockdown

Every action is checked against this policy before it runs.

Domains ALLOWLIST
Typed input ALLOW
Shell command BLOCK
File uploads BLOCK
Runs in a contained environment More on policies
Good to know

Questions, answered

Does it change anything in a client's ComplySci account?

No. WebRun only reads each client's compliance program to check it against your checklist. It never edits, clears, or adds to a client record.

What does the mock audit checklist actually check?

Whatever you set as your standing requirements, typically attestations completed, trade pre clearances logged, a current restricted list, and an up to date gift log for each client.

Does it check every client every week?

Yes. Every client on your book gets checked each Monday, so no client goes months without a readiness review between actual exams.

Keep going

Related templates

Automated Annual Compliance Review Scheduling
Every Monday, WebRun checks ComplySci for each client's last annual compliance review date, flags anyone due within 60 days, logs the schedule in Google Sheets, and holds a Zoom slot with your reviewer.
ComplySci (COMPLY)›Google Sheets›Zoom
Automated Client Exam Readiness Summaries
Every Monday, WebRun compiles each client's exam readiness status from ComplySci into Google Sheets and drafts a Gmail readiness memo to the client's compliance officer, left unsent for your review.
ComplySci (COMPLY)›Google Sheets›Gmail
Automated Code of Ethics Attestation Reminders
Every Monday, WebRun checks ComplySci across your RIA clients for employees who haven't completed their code of ethics attestation, drafts a Gmail reminder naming who's still outstanding, and posts your team a Slack summary by client.
ComplySci (COMPLY)›Gmail›Slack

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