投资顾问合规咨询

投资顾问合规咨询的自⁠动⁠化⁠模⁠板

10 个现成工作流,专为投资顾问合规咨询打造。每个都对应团队每周要做的一项实际工作,直接在您常用的工具里完成。这里最常用的应用:ComplySci (COMPLY)、Slack、Google Sheets。

投资顾问合规咨询
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Automated Restricted List Update Alerts
Every hour, WebRun checks ComplySci across your clients for restricted list changes, files the updated list in Egnyte, and alerts your compliance team in Slack the same hour it changes.
ComplySci (COMPLY)›Egnyte›Slack
Automated Regulatory Change Alert Digests
Every morning, WebRun checks SEC.gov for new rule releases, matches them against each client's compliance calendar in ComplySci, and posts your team a Slack digest of what applies and to whom.
SEC.gov›ComplySci (COMPLY)›Slack
Automated ComplySci Trading Exception Alerts
Every morning, WebRun checks ComplySci across your clients for new personal trading exceptions, drafts an Outlook request for explanation to the employee involved, and alerts your team in Slack the same day.
ComplySci (COMPLY)›Outlook›Slack
Automated RIA Client Onboarding Checklists
When a new client is added to ComplySci, WebRun checks their compliance program setup, tracks the onboarding checklist in Google Sheets, and checks DocuSign for the signed engagement agreement.
ComplySci (COMPLY)›Google Sheets›DocuSign
Automated Compliance Mock Audit Checklists
Every Monday, WebRun checks each client's compliance program in ComplySci against your standing mock audit checklist, logs every gap to Google Sheets, and posts your team a Slack readiness summary by client.
ComplySci (COMPLY)›Google Sheets›Slack
Automated Marketing Rule Review Checklists
When a new marketing piece is submitted, WebRun checks it in ComplySci against the SEC Marketing Rule requirements, logs the outcome to Google Sheets, and posts your team a Slack alert for anything needing revision.
ComplySci (COMPLY)›Google Sheets›Slack
Automated Form ADV Filing Deadline Reminders
Every Monday, WebRun checks ComplySci for material changes at each client that need disclosure, compares them against the firm's filed status on SEC IAPD, and posts your team a Slack countdown of who's still due.
ComplySci (COMPLY)›SEC IAPD›Slack
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
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 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

没找到您要的工作流?

任何流程,只要演示给 WebRun 看一次,就能变成按计划自动运行的智能体。