How is Skematic different from other case management systems?

Skematic’s software is fundamentally different from traditional case management tools. While other systems simply track cases, we develop an intelligent ecosystem that helps users identify violations and connect cases to your entire compliance program. Think of it this way: Traditional systems just log events. We create living connections between cases, ethics policies, and regulations. Standard tools track basic reporting. We capture the complete data story automatically. Other platforms separate cases from compliance programs. We integrate cases with your entire workplace ecosystem. Basic systems show what happened. We demonstrate how your organization investigated, why legal made their decisions, and what each department learned.

How does Skematic help track compliance issues?

Skematic gives compliance teams a central place to record and manage compliance cases, policy breaches, and related issues. It connects case activity to relevant policies, employee workflows, certifications, preclearance requests, surveillance, and other compliance records.

How does Skematic ensure case confidentiality and security?

Skematic follows industry-leading security practices and is SOC2 Type II certified. Our granular permissions ensure sensitive data is only visible to authorized users with appropriate access levels. We additionally support enhanced security measures for highly confidential cases.

How does Skematic help organizations manage regulatory reporting?

Our platform streamlines the way organizations track and report on potential violations. The software connects case information to relevant regulations, helping compliance and legal departments develop comprehensive reporting while ensuring all required disclosures are properly documented.

How does Skematic support cross-departmental collaboration?

Skematic enables seamless coordination between departments handling complex cases. Whether it’s ethics reviews, legal consultations, or other actions requiring multiple teams, our platform ensures everyone has appropriate access to the information they need while maintaining strict confidentiality controls.

How does compliance case management support financial services firms?

Financial services firms often manage potential issues involving employee trading, certifications, preclearance, brokerage activity, policies, and surveillance. Skematic connects these activities with case management so compliance teams can review issues in context, track follow-up, and preserve a complete record of how each matter was handled.

What are the 4 levels of case management?

The four levels of case management represent a maturity model, progressing from basic tracking through full program integration, providing a framework for organizations to assess capabilities. The first two levels focus on fundamental management of compliance cases and structured workflows, establishing consistent processes for handling ethics reviews. These case management levels often rely on manual effort and may lack clear connections between compliance cases and broader requirements, creating potential data gaps that stakeholders should address. Higher case management maturity levels introduce automation and integration. Level 3 incorporates automated workflows, improving access to information while reducing administrative overhead. Level 4 represents fully integrated case management that connects reviews directly to policies and regulations, ensuring comprehensive oversight through intelligent data automation.

What is a compliance breach log?

A compliance breach log is a structured record of potential or confirmed violations of internal policies, codes of ethics, regulatory obligations, or other compliance requirements. A useful breach log should capture the issue, relevant context, dates, review activity, actions taken, and outcome. Skematic helps compliance teams maintain this information in a connected, timestamped system rather than across separate spreadsheets and email threads.

What is the best software for compliance?

The optimal case management software depends on organization size, regulatory requirements, and specific program needs for managing compliance cases. While some platforms focus on specific areas, modern compliance functions increasingly seek integrated solutions that manage the full scope of their ethics and disclosure requirements. Key considerations include workflow automation capabilities, integration with existing systems, data security, and comprehensive reporting abilities that provide stakeholders with access to critical information. Leading case management systems offer comprehensive platforms that create integrated ecosystems connecting policies, procedures, and execution, ensuring employers can effectively mitigate risks while delivering better services. Additionally, organizations should consider future scalability and the platform’s ability to act on evolving regulatory requirements when evaluating options for compliance management.

What is compliance case management software?

Compliance case management software helps organizations record, investigate, track, and resolve compliance issues, policy breaches, and related incidents. Unlike a general task or ticketing system, compliance case management connects each matter to the policies, obligations, employee activity, supporting records, and follow-up required to demonstrate appropriate oversight. Skematic provides this connected case management approach for financial services compliance teams.

How does a compliance issue log support audits?

A compliance issue log helps demonstrate that potential breaches and concerns were identified, reviewed, and addressed consistently. Skematic maintains a consolidated and timestamped record of compliance activity, making it easier to review case history, preserve context, and provide supporting documentation during internal reviews, audits, and regulatory examinations.

Compliance Case Management Software

Track compliance issues, policy breaches, and follow-up in one connected system

Skematic is compliance case management software built for financial services firms. Gain a clearer view of open issues, a more consistent way to manage follow-up, and a complete record of compliance oversight.

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Case data that connects the dots.

Skematic helps compliance teams record issues, manage potential policy breaches, track follow-up, and maintain a complete history of how each case was handled.

Instead of managing cases through disconnected spreadsheets, email threads, and shared folders, Skematic connects compliance cases to the policies, employee activity, requests, certifications, surveillance, and records that provide the necessary context.

Centralize compliance cases and issue tracking

When compliance issues are recorded in different places, it becomes difficult to see what is open, what has been reviewed, and what still requires action.

Skematic provides a central environment for managing compliance cases, policy breaches, and related issues. Your team can maintain a consistent record of the matter, its context, and the activity taken in response.

Record compliance issues and potential policy breaches.
Track the status of open and resolved cases.
Keep case information and related activity together.
Maintain visibility across firm, team, and employee compliance.
Reduce reliance on spreadsheets and disconnected issue logs.

Manage policy breaches with the right context

A potential breach rarely exists in isolation. It may relate to a policy, an employee request, a certification, a trading activity, a brokerage statement, or another compliance process.

Skematic connects case management to the broader compliance environment, helping teams review issues in context rather than treating each case as a standalone record.

This gives compliance professionals a more complete basis for understanding what happened, determining what requires follow-up, and documenting the outcome.

Build a reliable compliance breach log

A compliance breach log should do more than list incidents. It should provide a clear record of the issue, the relevant policy or obligation, the review process, and the action taken.

Skematic gives compliance teams a structured way to maintain that history. Relevant activity remains connected and timestamped, helping your team preserve the details needed for internal oversight, audits, and regulatory examinations.

Maintain a consolidated record of compliance breaches and issues.
Preserve relevant dates, activity, and follow-up history.
Keep case information connected to related compliance processes.
Make records easier to review and export.
Reduce the risk of important context being lost in email or informal notes.

Track compliance issues from identification through resolution

Compliance issues require consistent follow-up. Once a potential breach or concern is identified, the team needs to understand what happened, determine the appropriate next action, and document how the matter was resolved.

Skematic helps organize that work within a connected case management process. Compliance teams can maintain visibility into outstanding matters and create a more consistent record of activity from initial identification through resolution.

This supports a clearer chain of oversight without requiring the team to reconstruct the case history from separate systems.

Connect cases to policies and compliance workflows

Case management is stronger when the underlying compliance program is connected.

Skematic helps your team move from an isolated issue log to a broader view of how the matter relates to the firm’s compliance program.

Skematic links compliance cases with related policies and workflows, including:

Employee certifications
Preclearance requests
Personal trading activity
Brokerage statement reviews
Compliance calendar obligations
Trade surveillance

Improve visibility into open compliance issues

Compliance leaders need to know where issues stand and where attention is required.

Skematic provides a clearer view into firm, team, and employee compliance activity, helping teams identify outstanding matters and potential areas of concern. With case information maintained in one connected system, leaders can review the state of the program without relying exclusively on manual updates from individual owners.

The result is more consistent oversight and a clearer understanding of the issues requiring action.

Reduce manual compliance administration

Compliance case management often involves gathering information from multiple sources, checking activity against policy, documenting conclusions, and maintaining a reliable record.

Skematic helps reduce the administrative burden by connecting the relevant compliance workflows and records in one environment. Its rules-driven approach can support more accurate review of employee activities and requests against the firm’s code of ethics and related requirements.

That gives compliance teams more structured information to work from when reviewing potential issues.

Support audit and regulatory examination readiness

When regulators or internal stakeholders ask how an issue was handled, compliance teams need to provide more than a final conclusion.

They need to show the relevant policy, the activity that raised the concern, the steps taken to review it, and the resulting record.

Skematic maintains a consolidated, timestamped history of compliance activity, helping teams respond with clearer documentation and less manual reconstruction.

Build a more consistent foundation for compliance issue tracking across your firm.

Compliance issues should not disappear into a spreadsheet or remain buried in an email thread. Skematic connects compliance cases, policy breaches, employee activity, requests, surveillance, and supporting records in one system. Your team gets a clearer view of open issues and a more complete history of how each matter was handled.

See how Skematic can help you manage compliance cases, breach logs, and issue tracking in one connected system.

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Skematic FAQs

Skematic’s pricing starts at just $5,000. Our services are scaled to support organizations of any size, helping them identify and manage potential risks while protecting their employees and clients.

Industry 101

Compliance case management systematically handles compliance cases, inquiries, and monitoring activities across regulated organizations, providing the framework for consistent operations.

The case management system ensures consistent procedures while maintaining complete records of findings, decisions, and resolutions, creating a defensible history of compliance activities.

Modern case management has evolved to become an integrated part of the compliance program’s operational framework, helping organizations manage risk and address ethics concerns effectively in increasingly complex regulatory environments.

A well-structured case management system connects reviews to relevant policies and requirements while automating data collection and providing appropriate access to information. This integration creates a closed-loop system of accountability.

This management approach helps compliance teams demonstrate effectiveness through clear audit trails of how compliance cases are identified, addressed, and resolved according to established procedures, ultimately improving services to clients.