Compliance Audit Trails for Every Onboarding Workflow

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Compliance and operations teams often need to understand the sequence of events—not just a list of logs. FormIQ provides:

• Visual timelines showing each step in the workflow and how long it took

• Expansion views for KYC/AML checks, approvals, and document changes

• Filters to quickly find high-risk cases, delayed cases, or exceptions

• Exportable summaries for use in internal reports or regulator communications

This makes it easier to demonstrate control, responsiveness, and adherence to your policies.

Compliance is not just about what you record—it’s also about how you protect it.

FormIQ incorporates:

• Secure data storage on AWS with modern encryption standards and SOC 2–aligned controls.
  
• Role-based access control (RBAC) so only authorized users can view or modify sensitive onboarding data.
  
• Granular permissions to restrict which teams or external partners see specific cases or data fields.
  
• Configurable retention policies mapping to regulatory requirements in capital markets, insurance, financing, and other regulated sectors.
  

This ensures onboarding records are both accessible to the right people and protected from unauthorized access.

When onboarding workflows include agreements, disclosures, or consents, FormIQ’s e-signature capabilities automatically capture detailed evidence for each signing event:

• Signer identity details and authentication steps
  
• Timestamps and IP/device information where applicable
  
• Hashes of the signed document to prove it has not been altered
  
• Certificates and completed documents stored as part of the onboarding record
  

This gives legal, compliance, and operations teams confidence that signatures are valid and defensible.

The Compliance Audit Trails module is designed to make life easier when scrutiny is highest:

• Respond quickly to regulator or auditor requests with exportable evidence packages.
  
• Show exactly which KYC/AML checks were performed on a given client or account.
  
• Demonstrate that your onboarding workflows match your documented policies.
  
• Investigate complaints or disputes with clear records of interactions and decisions.
  

Instead of combing through emails and network folders, teams can rely on a structured, searchable record.

Instantly surface complete onboarding histories, including KYC/AML checks, approvals, and signatures, instead of hunting through email threads and file shares.

Ensure every onboarding workflow follows your written policies, with controls and approval paths embedded directly in the flow.

Rely on time-stamped logs, signer certificates, and document hashes to demonstrate exactly what happened and when.

See who approved, escalated, or modified a case at each step, with user IDs and comments captured in the audit trail.

Reduce the time spent assembling evidence packs and reconciling data across systems so compliance teams can focus on higher-value risk work.