Regulatory filings
Assembles each regulator submission from recorded figures with their sources, so the filed pack can be rebuilt and defended without a search.
Tools
Diligent, OneTrust, Vanta, AuditBoard, Agiloft
Outcomes
Every figure recorded with its source • Missing figures stop the pack • Submitted copy filed with the working papers • Internal deadlines tracked as well as external
Documentation
Instruction-ready detail below
What breaks: each filing is assembled from a folder of spreadsheets kept by whoever produced the figures that year, so a number in the submission cannot be traced to a source. The person preparing it spends two weeks chasing figures across email before the work can start, and the copy that was actually submitted is rarely kept with the working papers. When a regulator queries a figure, the company rebuilds the basis under deadline. What the workflow does: it opens a filing record per submission with the regulator, the form, the due date, and a named preparer, then pulls the required figures from the systems that hold them. Each figure is recorded with the source it came from, so the pack can be rebuilt without reopening the year. A review step compares the figures against the last filed version, and a missing figure holds the pack rather than shipping blank. The submitted copy, the source figures, and the receipt are filed together, and a reminder runs ahead of every internal deadline, not just the regulator's. What a person still approves: the preparer confirms each figure, and a named officer signs off before it is filed.