Compliance, Risk & Audit AutomationPurpose
1.2. Automate monitoring of set thresholds defined by compliance/risk policies, fully automating breach identification.
1.3. Automate distribution of notifications to compliance officers, risk managers, and account owners to ensure timely mitigation.
1.4. Automate logging, reporting, and real-time escalation in line with financial industry requirements and audit standards.
1.5. Enable an audit-ready, automated compliance trail for all detected and resolved risk incidents.
Trigger Conditions
2.2. Updated risk assessments from trading systems, CRM, or third-party risk engines.
2.3. Automated overnight or intraday batch processing of positions or limit recalculations.
2.4. Manual override or flagged transactions by compliance staff.
2.5. Scheduled periodic checks on all risk limits set at client or instrument level.
Platform Variants
3.1.1. Feature/Setting: Automate SMS/WhatsApp alerts to risk/compliance teams.
3.1.2. Sample: POST message to /v1/Messages with breach details.
3.2. SendGrid (Mail Send API)
3.2.1. Feature/Setting: Automate breach emails; configure alerts using dynamic templates.
3.2.2. Sample: POST /mail/send with JSON payload for breach type and data.
3.3. Slack (Incoming Webhooks)
3.3.1. Feature/Setting: Automate real-time risk alerts into compliance channels.
3.3.2. Sample: POST risk event data to webhook URL.
3.4. Microsoft Teams (Connector/Webhook)
3.4.1. Feature/Setting: Automate notifications to Teams compliance channels.
3.4.2. Sample: POST JSON message card to Teams webhook endpoint.
3.5. Salesforce (Apex/REST API)
3.5.1. Feature/Setting: Automate incident logging in compliance or account records.
3.5.2. Sample: POST to /services/data/vXX.X/sobjects/Case for breach logging.
3.6. ServiceNow (Incident Management API)
3.6.1. Feature/Setting: Automate ticket creation/escalation for each risk breach.
3.6.2. Sample: POST incident to /api/now/table/incident.
3.7. Zendesk (Tickets API)
3.7.1. Feature/Setting: Automate support tickets with breach details.
3.7.2. Sample: POST to /api/v2/tickets.
3.8. Jira Service Management (REST API)
3.8.1. Feature/Setting: Automate compliance issue creation.
3.8.2. Sample: POST to /rest/api/2/issue with summary/description.
3.9. Google Chat (Webhook)
3.9.1. Feature/Setting: Automate breach alerts using bot integration.
3.9.2. Sample: POST message JSON to chat webhook URL.
3.10. PagerDuty (Events API v2)
3.10.1. Feature/Setting: Automate incident creation and escalation policies.
3.10.2. Sample: POST breach to /v2/enqueue with integration key.
3.11. Opsgenie (Alert API)
3.11.1. Feature/Setting: Automated multi-channel alerting and tracking.
3.11.2. Sample: POST to /v2/alerts with recipient configuration.
3.12. IBM QRadar (Offense API)
3.12.1. Feature/Setting: Automate adding breach as a security offense for tracking/audit.
3.12.2. Sample: POST to /api/siem/offenses.
3.13. DocuSign (eSignature API)
3.13.1. Feature/Setting: Automate digital sign-offs for breach acknowledgments.
3.13.2. Sample: POST envelope for e-sign acknowledgment routing.
3.14. SharePoint (REST API)
3.14.1. Feature/Setting: Automate storing breach documentation in compliance folders.
3.14.2. Sample: POST file metadata/breach details to document library.
3.15. AWS SNS (Publish API)
3.15.1. Feature/Setting: Automate multicasting breach alerts (SMS/email/SQS).
3.15.2. Sample: Publish message with breach payload.
3.16. Azure Logic Apps
3.16.1. Feature/Setting: Automate risk event flow using connectors (Teams, Outlook, SharePoint).
3.16.2. Sample: Trigger workflow on HTTP request with breach content.
3.17. Google Workspace (Gmail Send API)
3.17.1. Feature/Setting: Automate secure, branded email notifications.
3.17.2. Sample: Send email with breach template.
3.18. HubSpot (Workflows API)
3.18.1. Feature/Setting: Automate tasks/calls for compliance follow-up.
3.18.2. Sample: POST to /automation/v3/workflows.
3.19. Asana (Tasks API)
3.19.1. Feature/Setting: Automate tasks for risk investigations.
3.19.2. Sample: POST to /api/1.0/tasks with breach context.
3.20. Monday.com (API v2)
3.20.1. Feature/Setting: Automate board items for breach management workflow.
3.20.2. Sample: Create item mutation with breach details.
3.21. Freshdesk (Tickets API)
3.21.1. Feature/Setting: Automate client support case for every triggered risk limit breach.
3.21.2. Sample: POST new ticket to /api/v2/tickets.
Benefits
4.2. Reduces manual effort, enabling automatedly faster response and resolution cycles.
4.3. Automates real-time stakeholder notification, minimizing regulatory breach risk.
4.4. Ensures automatable, documented, repeatable processes for regulatory review.
4.5. Enables seamless automation integration with industry tools to support compliance and risk management objectives.