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Accelerated time-to-reporting, automated audit trails, and AI-driven risk analytics.
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Automated document review, AI-assisted risk scoring, and defensible audit trails for high-stakes regulatory environments.
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Predictive demand forecasting, inventory visibility, and IoT data integration—all deployed in secure, scalable environments.
Improved constituent services and data transparency through cloud-first modernization and automated compliance frameworks.
Optimized asset monitoring, predictive maintenance, and data centralization across field operations and regulatory workflows.
Improved resource planning, secure student data management, and AI-powered content summarization tools for faculty and staff.
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Project Title: Automating Regulatory Workflows for Audit Readiness & Compliance Traceability
Client Type: Mid-sized Investment Advisory Firm
Prepared By: DataExos Project Team
Challenge:
A mid-sized financial institution faced mounting regulatory pressure and manually managed audit logs, slowing down compliance reporting.
Approach:
We implemented a cloud-native architecture with built-in retention, auto-tagging, and audit trail generation, aligned to SOC 2 and GDPR.
Outcome:
> Cut compliance prep time by 50%
> 3x faster audit response
> Real-time internal controls monitoring
Client Type:
Mid-sized investment advisory firm (300+ employees, multi-state operations)
Project Goals:
> Automate internal audit documentation and regulatory reporting
> Improve data traceability and control alignment (SOC 2, SEC, FINRA)
> Reduce manual effort and error in compliance workflows
> Ensure complete audit trails for evidence-based accountability
Business Requirements:
Technical Requirements:
Compliance Alignment:
> SOC 2: Security, Availability
> FINRA: Rule 3110 (Supervision) + Rule 4511 (Books and Records)
> SEC: Rule 17a-4(f) retention and access
> Optional future readiness: ISO 27001
Tools & Tech Stack:
> Microsoft Power BI (dashboards)
> Azure Functions + Logic Apps (automation)
> SharePoint/OneDrive or cloud DMS (evidence storage)
> Azure AD + Purview (access control, metadata tagging)
> Optional: ServiceNow or Jira for integration into compliance workflows
Assumptions:
> Internal IT will manage account and license provisioning
> Data used for reporting is already stored in approved environments
> User training and change management will be handled collaboratively
Total Duration: 12 Weeks
Note: Timelines assume moderate complexity and close collaboration with the client’s internal IT and compliance teams.
Phase 1: Discovery & Requirements Gathering
Duration: 2 Weeks
Primary Owner: Project Manager + Compliance Analyst
Phase 2: Architecture Design & Tool Setup
Duration: 2 Weeks
Primary Owner: Solutions Architect + Data Engineer
Phase 3: Dashboard & Workflow Automation Development
Duration: 4 Weeks
Primary Owner: BI Developer + Automation Engineer
Phase 4: Control Mapping & Documentation
Duration: 2 Weeks
Primary Owner: Compliance Specialist + Technical Writer
Phase 5: Go-Live & Enablement
Duration: 2 Weeks
Primary Owner: Change Manager + Engagement Lead
Introduction:
This document outlines the detailed design specifications for the automation of regulatory workflows. It supports audit readiness, internal control visibility, and compliance alignment with SOC 2, SEC, and FINRA regulations.
System Overview:
The system will automate evidence generation, improve traceability, and integrate real-time compliance dashboards. It connects users through Microsoft Azure AD to a central SharePoint document repository, automated workflows via Azure Functions, audit log storage, and reporting via Power BI.
Functional Components:
3.1 User Authentication
> Integrated with Azure Active Directory
> Role-based access for Compliance Analysts, Auditors, and Admins
3.2 Document Management
> Hosted on SharePoint or equivalent cloud file system
> Includes metadata tagging (control ID, review date, document owner)
> Supports versioning and retention policy configuration
3.3 Workflow Automation
> Azure Functions and Logic Apps trigger audit trail creation and evidence collection
> Automated notifications for expired policies, incomplete evidence, or control breaches
3.4 Audit Log Storage
> Logs generated by Azure Functions stored in secure Azure Blob Storage
> Logs include timestamps, action types, and user ID metadata
3.5 Power BI Compliance Dashboard
> Visualizes control readiness, audit activities, and outstanding issues
> Dashboards tailored per role (executive summary, operations view, audit trail view)
Non-Functional Requirements:
> Scalability: System must support >500 active users without degradation
Availability: 99.9% uptime for dashboard and automation workflows
Security: Role-based access, encrypted storage, and audit trails
Performance: Evidence generation workflows must execute within 2 seconds under normal load
Auditability: All data changes must be tracked and viewable within audit logs
Integration Points:
> Azure Active Directory (SSO & Role Enforcement)
> SharePoint Online (Document Repository)
> Azure Functions / Logic Apps (Automation Layer)
> Power BI Service (Dashboards)
> Optional: ServiceNow or Jira (Workflow Ticketing)
System Architecture Reference:
See attached architecture diagram (latest version: [Architecture v3]).
Assumptions & Constraints:
> Client IT will provision cloud infrastructure and user roles
> DataExos will configure workflows, dashboards, and automation scripts
> Change requests after phase 3 may require rework estimation
Review & Approval:
> Document to be reviewed by Compliance Lead, IT Security Manager, and Project Sponsor.
> Final sign-off expected at end of Phase 2.
Introduction:
This test plan outlines the verification and validation strategy for ensuring the successful implementation of automated regulatory workflows. The scope includes integration, functionality, security, performance, and compliance testing.
Testing Objectives:
> Validate proper functioning of automation workflows (evidence collection, alerting)
> Verify Power BI dashboards for data accuracy and role-based views
> Ensure secure document access and audit trail generation
> Test compliance with retention, traceability, and versioning requirements
Test Strategy:
> Unit Testing: Conducted by developers for Azure Functions and Logic Apps
> Integration Testing: Validate data flow between Azure AD, SharePoint, automation layer, and dashboards
> System Testing: End-to-end validation of workflows from user action to dashboard output
> User Acceptance Testing (UAT): Conducted with Compliance, Audit, and IT teams
> Security Testing: RBAC enforcement and audit logging validation
Test Environments:
> Development Environment: For unit tests and early integration
> Staging/UAT Environment: Mirrors production setup for full scenario tests
> Production: For post-deployment validation only
Test Cases (Sample):
TC-01: User Authentication and Access
Objective: Verify Azure AD login and role-based access control
Steps:
1. Attempt login with valid credentials
2. Attempt login with unauthorized role
Expected Result: Valid users access system, invalid users denied
TC-02: Evidence Collection Trigger
Objective: Validate automation triggers on document approval
Steps:
1. Upload or approve compliance document
2. Observe triggered Azure Function log
Expected Result: Evidence log entry created with correct metadata
TC-03: Dashboard Accuracy
Objective: Ensure Power BI dashboard reflects updated control status
Steps:
1. Complete a sample control workflow
2. Check dashboard update within 5 minutes
Expected Result: Updated control shown as “Complete”
TC-04: Audit Log Generation
Objective: Validate audit trail is written for all critical actions
Steps:
1. Perform key user action (document delete, status update)
2. Review audit log entries
Expected Result: Log contains user ID, action, and timestamp
TC-05: Retention Policy Enforcement
Objective: Ensure expired documents are flagged
Steps:
1. Modify date to simulate expired document
2. Trigger document check
Expected Result: System flags document for review or archival
Test Deliverables:
> Test Cases Document (this file)
> UAT Feedback Log
> Defect Log / Bug Tracker (linked to Jira or equivalent)
> Test Summary Report
Roles & Responsibilities:
QA Lead: Test coordination, defect triage
Developer: Unit and integration test support
Compliance Analyst: Functional and UAT testing
Project Manager: UAT coordination and acceptance sign-off
Schedule:
Testing will span sprints 3 through 6 with final UAT in Sprint 6.
Approval:
Sign-off from QA Lead, Compliance Lead, and Engagement Sponsor required prior to go-live.
Introduction:
This document outlines the risk assessment for the deployment of an automated regulatory workflow system. The goal is to identify potential risks that could impact compliance, performance, security, or operational continuity, and define mitigation strategies.
Risk Assessment Methodology:
> Identification: Based on stakeholder input, system design, and past project benchmarks
> Classification: Each risk is categorized by its type (compliance, technical, operational, etc.)
> Scoring: Using qualitative measures: Likelihood (Low, Medium, High) and Impact (Low, Medium, High)
> Mitigation: Recommended controls or process adjustments
Risk Register:
High-Risk Scenarios and Action Plans:
Unauthorized Data Access
> Action: Pre-launch RBAC testing, enforce MFA, audit trail validation
> Owner: IT Security Lead
Evidence Generation Failures
> Action: Monitoring logic within Azure Functions + alerting in Slack/Teams
> Owner: Automation Engineer
Misalignment with Regulatory Frameworks
> Action: Compliance Analyst review against SOC 2 and FINRA control matrices
> Owner: Governance Lead
Residual Risk Summary:
Based on current mitigation measures, the residual risk is Low to Moderate, with continuous monitoring planned through UAT and post-deployment stabilization.
Review & Ownership:
> To be reviewed by: Compliance Lead, Automation Engineer, Project Manager
> Risk register to be updated bi-weekly during implementation phase
Introduction:
This deployment plan outlines the rollout strategy for the regulatory automation system. It includes preparation, deployment activities, validation, and transition to operations.
Deployment Objectives:
> Deploy all automation components in a secure, scalable cloud environment
> Ensure successful transition from staging to production
> Minimize service disruption and ensure audit-readiness from day one
Deployment Scope:
> Azure Functions and Logic Apps for automation
> SharePoint integration for document management
> Azure Blob Storage for audit logs
> Power BI Dashboards
> Role-based access configuration via Azure AD
> Logging, alerts, and backup setup
Pre-Deployment Checklist:
Deployment Schedule
Deployment Window: Friday, November 8 – Sunday, November 10, 2024 (Weekend cutover preferred)
Estimated Downtime: < 1 hour (non-user facing for most users)
Post-Deployment Activities
> Final validation checklist walkthrough
> Monitoring system logs and usage metrics for 48 hours
> Backup verification
> Bug/issue tracking via Jira
Rollback Plan
In case of critical failure:
> Rollback to last working staging snapshot
> Restore automation scripts from Git repository
> Notify all stakeholders of rollback via incident channel
Communication Plan
> Email update to all end-users post-deployment
> Real-time updates via Teams during deployment window
> Daily stand-up for 3 days post go-live to address emergent issues
Sign-Off
Deployment to be signed off by:
> DevOps Lead
> Compliance Lead
> Project Sponsor
Purpose:
This document outlines the security controls and compliance framework that support the regulatory automation solution. It addresses system hardening, data protection, regulatory alignment, and audit preparedness.
Security Principles:
> Least Privilege Access: Role-based access control (RBAC) implemented via Azure Active Directory
> Data Encryption: All data encrypted in transit (TLS 1.2+) and at rest using AES-256
> Audit Logging: All user actions and automated events logged and retained for audit purposes
> Segregation of Duties: Separation of administrative, compliance, and user-level roles
> Multi-Factor Authentication (MFA): Enforced for all user logins via SSO
Security Architecture Overview:
> Azure AD for identity and access management
> SharePoint Online for secure document storage with versioning and metadata
> Azure Functions / Logic Apps for workflow automation, monitored via Azure Monitor
> Azure Blob Storage for immutable audit logs
> Power BI with workspace-level access and row-level security (RLS)
Compliance Framework Alignment:
Data Classification & Retention:
> All uploaded content tagged with:
-Control ID
-Sensitivity Level (e.g., Internal, Confidential)
-Retention Category
> Retention enforced via SharePoint policies
> Deleted files retained in archive logs for 7 years (FINRA/SEC-compliant)
Monitoring & Alerting:
> Azure Monitor tracks failures, unusual access patterns, and system health
> Compliance alerts (e.g., overdue controls, untagged documents) routed to Compliance Team via Teams and/or email
> All monitoring dashboards reviewed weekly
Third-Party Risk & Access:
> No third-party vendors have direct access to data
> All integrations (e.g., Jira, ServiceNow) use scoped service principals
> API-level access monitored via Azure API Management
Incident Response Protocol:
> Incident classification matrix established (Minor, Major, Critical)
> Escalation path documented and distributed to all key teams
> Root cause analysis (RCA) required for all Major/Critical events within 48 hours
Documentation & Audit Readiness:
> All workflows, controls, and exceptions are logged and versioned
> Quarterly internal audits to validate alignment with compliance frameworks
> Reports exportable for regulatory review upon request
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