Red flag and compliance check automations

Purpose

1. The automation of red flag and compliance checks streamlines due diligence for private equity firms by continuously monitoring investments, counterparties, and portfolio companies for regulatory, legal, ethical, and reputational risks.

2. Automates detection of anti-money laundering (AML), politically exposed persons (PEP), sanctions, fraud, adverse media, and integrity risks via real-time and batch screening across global databases.

3. Ensures regulatory reporting, documentation, and audit trails are always up to date by automating the collection, analysis, and alerting processes, reducing manual oversight and human error.

4. Automates notification, escalation, remediation workflow, and customizable compliance approval chains for investment committees and compliance officers.

Trigger Conditions

1. New deal, investment, or portfolio company onboarding initiates automated compliance workflow.

2. Updates to entity data or documentation automatably trigger re-screening for risks.

3. Scheduled periodic checks (daily, weekly, monthly) for regulatory updates, adverse news, and risk changes.

4. External alerts from regulators, sanction list updates, or AML rule changes trigger automated compliance process review.

5. User-initiated submission of a party or transaction for review.

Platform Variants

1. Salesforce

• Feature/Setting: Automate execution of flows using Salesforce Flow Builder + Scheduled Triggers + Field Updates; API triggers via Webhooks for new lead or record updates.
  

2. Microsoft Power Automate

• Feature/Setting: Configure compliance check automations using pre-built connectors to trigger on SharePoint, Dynamics 365, or mailbox updates.
  

3. DocuSign

• Feature/Setting: Automates compliance record collection and signature workflows via API callbacks and envelope status updates.
  

4. LexisNexis Bridger Insight XG

• Feature/Setting: Automated batch and real-time screening via Bridger Insight XG Screening API with workflows to flag PEP, OFAC, and sanctions.
  

5. Refinitiv World-Check

• Feature/Setting: Automates due diligence via World-Check One API endpoints for entity and individual screening tasks.
  

6. ComplyAdvantage

• Feature/Setting: Automate compliance and AML screening through the ComplyAdvantage REST API for transactions and onboarding triggers.
  

7. Encompass Corporation

• Feature/Setting: Automator API for real-time KYC and regulatory checks kicked-off by new contact creation.
  

8. Google Cloud Vision

• Feature/Setting: Automate document verification and ID validation using OCR and entity extraction through API integration.
  

9. Slack

• Feature/Setting: Real-time delivery of automated compliance alerts via Slack Bot API notifications and webhooks.
  

10. Twilio SMS

• Feature/Setting: Automated escalation of red flag alerts via programmable SMS and webhook-based triggers.
  

11. Microsoft Teams

• Feature/Setting: Use Teams Webhook Connector to automate compliance alert delivery and collaborative approval flows.
  

12. ServiceNow

• Feature/Setting: Automated incident management and routing via business rules, workflow automations, and API integration from compliance systems.
  

13. Jira

• Feature/Setting: Automate issue creation for compliance exceptions through REST API based event triggers.
  

14. AWS Lambda

• Feature/Setting: Automate custom compliance scripts and workflow orchestration triggered by S3, DynamoDB changes, or API Gateway events.
  

15. Azure Logic Apps

• Feature/Setting: Automate multi-step compliance due diligence workflows, integrating with Office 365, SQL, and partner APIs.
  

16. SAP GRC

• Feature/Setting: Automated risk and compliance checks using SAP GRC Risk Management automated workflows and API integration.
  

17. Okta

• Feature/Setting: Automate user access and compliance certification workflows using Okta Workflows and API actions.
  

18. OneTrust

• Feature/Setting: Automate compliance case management and regulatory checklists via API events and scheduled tasks.
  

19. Dropbox Business

• Feature/Setting: Automate sensitive file monitoring and audit trail creation triggered by file upload events via API.
  

20. HubSpot

• Feature/Setting: Automate compliance status updates and workflows using workflows with triggers from custom property or deal stage changes.
  

21. Oracle NetSuite

• Feature/Setting: Automated compliance flagging and escalation with SuiteFlow workflows triggered by transaction or vendor changes.
  

22. S&P Global Market Intelligence

• Feature/Setting: Automate financial counterparty and red flag monitoring via API alerts and data feeds.
  

Benefits

1. Automated, real-time risk identification and mitigation, reducing compliance gaps.

2. Improves audit readiness by maintaining automated logs of all compliance activity.

3. Accelerates deal velocity by automating due diligence steps and reducing manual bottlenecks.

4. Lowers risk and compliance costs through elimination of repetitive manual screening.

5. Automates notification, escalation, and documentation for investment and compliance teams.

6. Enhances regulatory alignment by automating rule and list updates, reducing exposure to penalties.

7. Enables scalable, global compliance monitoring using automatable, configurable workflows.

8. Increases investor, regulator, and partner confidence via auditable, automated compliance processes.