Proactive Compliance Monitoring Across Your Managers and Subadvisors

Automate attestations, monitor regulatory filings in real time, and maintain a complete, regulator-ready record of every review — before issues surface in an audit.

DiligenceVault Workdflow Automation

Data Collection

Automate Attestations and Monitoring

Compliance obligations don’t wait for quarterly reviews. Give your team a structured, automated workflow for managing attestations, monitoring regulatory changes, and maintaining a defensible record of every review — without relying on calendar reminders and email chains.

  • Build automated attestation workflows with configurable schedules and escalation rules
  • Assign compliance review tasks to named team members with deadline tracking and reminders
  • Monitor Form ADV filings for regulatory changes across your entire manager universe in real time
  • Maintain a complete, regulator-ready record of every review, approval, and exception noted

AI & Analytics

Surface and Document Risks

Compliance is most valuable when it’s proactive. Integrate regulatory data, manager DDQ responses, and AI-assisted risk analysis to give your compliance team early warning on material changes — before they surface in an audit or investor inquiry.

  • Use AI-assisted document review to identify inconsistencies in policies, outdated disclosures, and governance
  • Generate compliance summary reports for boards, senior management, and external auditors
  • Integrate compliance data with your internal risk data warehouse via API
DiligenceVault Risk Dashboard
DiligenceVault Presentation Report

Workflow

Create Pitch Perfect Reports

Create branded reporting for internal and external stakeholders.

  • Tear sheets, dashboards, advisor materials to board reporting – use your data and diligence on DiligenceVault to create these consistently in just a few clicks. 

Related Insights

Key Takeaways: How to Build an AI Agent for Due Diligence

Missed the session? Explore key insights from our latest webinar on building AI agents for due diligence, including adoption trends, top use cases, and how teams are approaching AI governance.

CASE STUDY: How an Insurance Subadvisory Platform Executes on Due Diligence and Compliance Framework

Every year, the compliance team at this global insurance company has to send out an annual 15(c) due diligence questionnaire to its 50+ sub-advisers. Using MS Word and Excel, countless hours were spent by both the insurance team and their

Explore other use cases

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