Route every employee submission through the right compliance workflow
Skematic helps financial services firms manage pre-clearance requests, employee disclosures, and other compliance submissions with a robust rules engine, configurable routing, and complete visibility from submission through resolution.
Employee submissions should be evaluated by policy, not processed through a shared inbox
Financial services compliance teams receive a steady flow of employee requests and disclosures. Each submission may require different information, different policy checks, different reviewers, and a different outcome. When those decisions are managed through email, spreadsheets, or disconnected tools, important context can be missed and review processes become difficult to standardize.
Skematic creates a structured workflow for employee compliance submissions. Its rules engine evaluates each request against the requirements configured for your program, while intelligent routing helps send the submission to the appropriate reviewer or next step. Compliance teams get a more consistent process, and employees get a clearer way to submit the information they are required to provide.
Give employees one clear way to submit compliance requests
Skematic gives employees a structured process for submitting pre-clearance requests, disclosures, and other compliance information, helping your team collect the details needed for review from the start.
- Guide employees through the requirements for each submission type.
- Reduce incomplete requests and unnecessary back-and-forth.
- Give employees visibility into the status of their submissions.
- Bring requests and disclosures into the firm’s broader compliance program.
Apply the right logic and route every submission accordingly
Skematic’s robust rules engine evaluates submissions against the requirements configured for your compliance program, helping determine whether a request follows a routine path, requires additional review, or should be escalated.
- Apply different rules to different employees, requests, activities, or conditions.
- Route submissions to the appropriate reviewer or workflow.
- Separate routine requests from exceptions and higher-risk activity.
- Reduce manual triage across inboxes and spreadsheets.
- Support more consistent decisions across the compliance team.
Give reviewers the context behind every submission
A submission rarely tells the full story on its own. Skematic helps compliance teams review requests and disclosures alongside the relevant employee, policy, and activity information before deciding what happens next.
- Review pre-clearance requests against applicable compliance requirements.
- Cross-check employee requests and activity against the firm’s code of ethics.
- Request additional information when a submission requires clarification.
- Document decisions, exceptions, and follow-up within the same workflow.
- Apply deeper analysis to activity such as excessive trading and holding-period concerns.
Preserve the full history of every request and decision
Skematic creates a centralized, timestamped record of what was submitted, how it was routed, what was reviewed, and what happened afterward.
- Preserve the original submission and supporting information.
- Record workflow progression, reviewers, decisions, and follow-up.
- Maintain a clear history of pre-clearance and disclosure activity.
- Make records easier to find, review, and export.
- Create a more defensible record for audits, exams, and internal reviews.
From employee submission to documented decision
1. Submit
Employees provide the information required for the relevant request or disclosure through a structured submission experience.
4. Resolve
The compliance team reviews the submission and its supporting context, then documents the decision and any required next action.
2. Evaluate
Skematic applies the rules configured for your compliance program and identifies the appropriate workflow path.
5. Preserve
The complete submission and workflow history remain available for future review, reporting, audits, and examinations.
3. Route
The submission moves to the relevant reviewer, queue, review path, or follow-up process.
A more reliable submission process for employees and compliance teams
Less manual triage
Reduce the time spent sorting requests, checking inboxes, and determining where each submission belongs.
More complete submissions
Give employees a structured process that helps collect the information reviewers need.
Consistent policy application
Apply configured compliance logic across requests instead of relying entirely on individual interpretation.
Faster, clearer routing
Move submissions to the appropriate reviewer or next step without unnecessary administrative delay.
Better exception management
Separate routine activity from requests that require additional review, escalation, or investigation.
Stronger auditability
Preserve the submission, workflow history, decision, and follow-up in one centralized record.
Make employee compliance submissions easier to review and harder to lose
See how Skematic can help your firm automate pre-clearance workflows, structure employee disclosures, route submissions intelligently, and preserve a complete record of every decision.