Compliance Officer workflows
Playbooks for the compliance officer role, in roughly the order you'd hit them.
Your playbooks
- Review a Lead's Compliance Tab — Inspect a lead's compliance record, clear flags, or escalate issues that need follow-up.
- Take a Complaint Through to Resolution — Work a complaint from initial filing through investigation to a documented resolution.
- KYC Onboarding and Review — Verify identity documents, run KYC checks, and approve or reject a lead's onboarding.
You're also involved in
- File a Complaint on a Lead — your part: receiving the escalated complaint and driving it to resolution.