Compliance workflows that keep your entire firm moving
Skematic connects compliance policies, calendars, certifications, preclearance, trade surveillance, cases, and employee oversight in one intelligent workflow management system built for financial services.
Compliance work should move forward, not get lost between systems
Financial services compliance teams manage hundreds of recurring responsibilities across employees, teams, policies, approvals, reviews, requests, and regulatory obligations. When those processes rely on spreadsheets, email, shared folders, and disconnected point solutions, it becomes difficult to see what is complete, what is overdue, and where risk may be building.
Skematic gives your compliance team a connected way to manage the work behind the program. Automated workflows, centralized records, configurable rules, and real-time oversight help your team reduce manual administration while creating a clearer, more consistent record of every action.
Bring the full compliance program into one connected workflow.
Skematic helps your team manage firm, team, and employee compliance responsibilities in a single operating environment rather than across disconnected modules and manual processes.
- Connect policies, calendars, certifications, preclearance, surveillance, and cases.
- Move information from one compliance activity into the next.
- Maintain a shared view of responsibilities, status, and outstanding actions.
- Give compliance teams and employees a simpler way to complete required work.
Replace repetitive follow-up with structured, automated processes.
Compliance teams should spend their time reviewing risk and making informed decisions, not manually chasing attestations, checking spreadsheets, or moving information between systems.
Skematic automates the recurring steps that keep compliance programs running, helping teams reduce administrative effort and improve consistency across the firm.
- Automate certification and attestation workflows.
- Route preclearance requests through the appropriate review process.
- Track required actions, approvals, and follow-up.
- Reduce reliance on individual memory and manual reminders.
- Scale compliance operations without adding the same level of administrative overhead.
Built for compliance teams, not adapted from generic task management software
Skematic was built by a team with more than 20 years of experience shaping employee trade surveillance technology. That experience informs how the platform handles the practical realities of financial services compliance: recurring obligations, employee participation, broker data, review workflows, policy-driven decisions, and the need for defensible records.
The result is a compliance workflow management platform designed to make the program easier to operate without reducing it to a generic checklist.
Manage compliance workflows around the realities of regulated firms.
Generic GRC workflow tools are often designed to manage broad enterprise tasks. Skematic is purpose-built for the specific processes financial services compliance teams manage every day.
From employee trading oversight to policy-related responsibilities and compliance cases, Skematic helps teams coordinate the work required to operate a modern compliance program.
- Manage employee compliance responsibilities and certifications.
- Support preclearance and employee trading workflows.
- Connect brokerage data and compliance reviews.
- Apply rules to identify activity that may require further attention.
- Create a more consistent process across firms, teams, and employees.
See what is happening across your firm before something falls through.
A compliance program is only as reliable as the team’s ability to see what has been completed, what requires attention, and where responsibilities are unclear.
Skematic gives compliance leaders a real-time view of firm, team, and employee activity so they can identify exceptions, monitor progress, and focus attention where it matters most.
- Monitor compliance responsibilities from a centralized dashboard.
- Identify incomplete, overdue, or potentially problematic activity.
- Review firm-wide, team-level, and employee-level compliance status.
- Create clearer accountability for every required action.
- Give compliance leaders the context to prioritize their work.
A more reliable way to run compliance operations
1. Configure the program around your firm
Reflect your firm’s policies, responsibilities, employee groups, workflows, and review requirements in one connected system.
4. Surface what needs attention
Use dashboards, rules, and workflow status to identify exceptions, incomplete work, and activity that requires review.
2. Automate recurring activity
Reduce manual administration by structuring certifications, requests, reviews, reminders, and follow-up around repeatable workflows.
5. Preserve the record
Maintain a centralized, timestamped history of compliance activity that is easier to review, explain, and export.
3. Connect the underlying data
Bring relevant employee, brokerage, policy, and compliance activity together so teams can review information in context.
Create a complete record of how compliance work gets done
Compliance decisions need to be understandable after the fact, whether they are reviewed internally, examined by regulators, or revisited during a policy or personnel change.
Skematic creates a consolidated, timestamped record of compliance activity, helping teams preserve the context behind requests, reviews, approvals, actions, and outcomes.
- Maintain a threaded record of compliance activities.
- Connect actions and decisions to the relevant workflow or requirement.
- Make information easier to find, review, and export.
- Preserve institutional knowledge when team members or vendors change.
- Support a more consistent, audit-ready compliance process.
Make compliance work easier to manage and easier to see
See how Skematic can connect your firm’s compliance workflows, reduce manual administration, and give your team clearer oversight of the work that keeps your program running.
Skematic FAQs
Our implementation takes less than a month, dramatically improving upon traditional implementation methods. Our expert services team handles the heavy lifting – configuring compliance requirements, dashboards and workflows. You’ll have a fully operational compliance operating system that matches your standard operating procedures without disrupting current operations.
Financial services compliance workflow management is the use of structured processes and technology to coordinate recurring compliance activities across a firm. It helps compliance teams assign responsibilities, automate routine steps, route requests for review, monitor completion, identify exceptions, and maintain a reliable record of activity.
Skematic applies this approach across the connected workflows that support a financial services compliance program, including certifications, preclearance, employee oversight, trade surveillance, compliance cases, calendars, and firm-wide reporting.