Every regulatory filing and reporting obligation lives in one automated calendar that assigns preparation tasks weeks ahead, gathers supporting documents into a ready filing folder, and escalates anything trending late, long before a deadline is at risk.
Typical results
100%
Filings on time
24 mo
Without a late filing
40+
Obligations tracked
30 days
Prep head start
Figures reflect typical results for this kind of automation.
The challenge
Over forty recurring obligations — regulator reports, license renewals, audit submissions — were tracked in a spreadsheet only the compliance officer understood. Preparation started when someone remembered, evidence was hunted down by email in the final week, and two filings had already gone in late, drawing uncomfortable regulator attention the firm could not afford again.
Before and after
Filings submitted on time
+22%Prep head start before deadline
6×Evidence gathering per filing
−83%The automation
We mapped every obligation into an automated compliance calendar with its owner, deadline, and lead time. Thirty days out, the system assigns preparation tasks; as they complete, it pulls supporting documents from the firm's drives and finance systems into a dedicated filing folder, requesting anything missing by automated email. A dashboard tracks each filing's readiness, and anything trending late escalates to the compliance officer, then a partner, before the deadline is at risk.
How it works
- 01
Obligation mapped
Every recurring filing lives in the calendar with its owner, deadline, and required lead time.
- 02
Tasks assigned
Thirty days out, preparation tasks are assigned automatically to the right people.
- 03
Evidence gathered
Supporting documents are pulled from drives and finance systems into a dedicated filing folder; anything missing is requested by email.
- 04
Progress watched
A readiness dashboard tracks each filing, and anything trending late escalates before the deadline is at risk.
- 05
Filed & archived
The submission is confirmed and the complete evidence pack is archived, audit-ready.
Starts from
- Filing obligations
- Regulator notices
Delivers
- Prep tasks assigned
- Evidence folder
- Late-trend escalations
The impact
Filings go in on time, even with over forty obligations per cycle. Preparation starts thirty days out instead of five, evidence gathering typically falls from six hours per filing to under one, and contact with the regulator becomes routine instead of strained.
Questions about this automation
How does the calendar know which filings are coming up?
Each recurring obligation is entered once with its owner, deadline, frequency and required lead time. The calendar then generates every next occurrence automatically. Thirty days before each deadline it creates the preparation tasks and assigns them to the named owners, so work starts on schedule instead of when someone remembers.
Where does the evidence for each filing come from?
The flow pulls supporting documents from the firm's shared drives and finance systems into a dedicated folder for that filing. When a required document is missing, it emails the person responsible and tracks the reply. The finished folder is archived with the submission confirmation, ready for an audit.
What happens when a filing starts running late?
A readiness dashboard tracks open tasks and missing documents for every filing. When progress falls behind the lead time, the item escalates first to the compliance officer and then to a partner, well before the deadline. This is a multi-step build, usually rolled out in stages, starting with the calendar itself.