A full-stack compliance operations platform for a regulated trade services firm (NDA). Brokers submit deals, compliance officers review documents, regulatory authorities receive structured filings, all coordinated through a single role-gated system across 8 user tiers and a 7-stage pipeline, fully automated from first inquiry to license closed.
8
Role tiers managed
30+
Automated email triggers
100%
Workflow coverage
The Problem
The firm was coordinating high-stakes licensing cases across field brokers, sub-agents, compliance officers, accountants, and government authorities, entirely over email and spreadsheets. Physical document couriers had no tracking, fee calculations were done manually per case, status was invisible to everyone except the person holding the last email, and there was zero audit trail. One missed document could stall a case for weeks.
Our Solution
We built a role-gated operations platform where every actor sees exactly their slice of the workflow, nothing more. Brokers enter client data and the system auto-calculates service fees. Cases advance through 7 defined statuses with automated emails firing at each transition: regulatory filings dispatched to authority, courier tracking numbers logged and confirmed, brokerage invoice auto-generation, and 30/45/60/75-day payment reminders if fees go unpaid. Directors get a live dashboard with per-officer caseload analytics and workload-based assignment recommendations.
Results
8-tier role hierarchy with granular, per-stage access control
Full case lifecycle across 7 statuses with zero manual handoffs
30+ automated email triggers replacing ad-hoc coordination
Fee invoicing with escalating reminders at Day 31, 45, 60, 75
Built with
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