Compliance & Surveillance Case Management
Every Advisory Request and Inquiry Tracked to Close
Case Management is compliance case management software for CIRO, FINRA and SEC regulated firms. It turns Risk7 alerts, account exceptions and advisor requests into governed cases, routed to the right team with business-day deadlines and closed with a written rationale and, where needed, a second approver.
Mary Leblanc · 22% single issuerUnified Casework
Every Inquiry and Request,
One Governed Workflow
Alert-to-Case Inquiries
Open cases from Risk7 alerts and 20+ surveillance and report sources, including KYC, KYP, inactivity and mandate drift, pre-filled with the advisor, client, account, and trade and transaction details.
Advisor Collaboration
Advisors raise service and operations requests, from account opening to account maintenance, and reply through their own inbox. Meanwhile, internal notes, trade surveillance and case history stay with compliance.
Business-Day SLA Clocks
Every case carries a due date on a business-day calendar and a reminder date can be scheduled for follow-ups, with at-risk and breached cases surfaced before deadlines slip.
Secondary Approval
Cases that need sign-off are approved by someone other than the creator or owner, then locked to closure.
Team Queues & Routing
Assign cases to a team, a supervisor, analyst, or an advisor group, with no-code rules that send urgent work to the right reviewer.
Reports & Export
Track deadlines met and breached across open, closed and archived cases, and export results to CSV.
The Case Lifecycle
From Initial Alert to Resolution
With compliance case management software, every case moves through a controlled, repeatable path, and each step is recorded in the audit trail.
Step 1
Open
Create a case from a Risk7 alert, an account exception, an advisor request or by hand.
Step 2
Route
Rules and team defaults assign the case to the right queue and owner.
Step 3
Investigate
Work the case with internal notes, advisor-visible replies, and linked documents.
Step 4
Track
The business-day SLA clock shows on-track, at-risk and breached cases at a glance.
Step 5
Approve
A second reviewer approves any case that needs sign-off.
Step 6
Close
Every closure records a written rationale, and the deadline outcome is frozen for reporting.
One Workbench
Every Open Case
in One Queue
One workbench brings together your own cases, your team’s queues and the cases you created. You can view them as a table or a board, grouped by status, priority or deadline.
Reminders and new-case flags
At-risk and breached deadlines
Bulk assign and close
Governed Decisions
When a Case Needs Approval,
It’s Never Self-Approved
Cases that need sign-off move to pending approval, and the approver can be neither the creator nor the owner. Once approved, a case can only close, with a written rationale stored in its history.
Independent approver
Written closing rationale
Locked after approval
Complete History
A Verifiable Record
of Every Case
Every status change, assignment, note and approval is recorded in the case history with who did it and when, and the history is checked for integrity each time it is opened.
Attributed case history
Integrity-checked records
CSV reporting export
- Opened from Risk7 alertRisk7 rule · undue concentration
- Assigned to Priya NairRouted by rule · Trade Surveillance
- Advisor repliedDaniel Roy · order ticket attached
- ApprovedSarah Chen · independent approver
- ClosedWritten rationale · deadline met
Frequently Asked Questions
Compliance Case Management Software
What is compliance case management software?
Compliance case management software tracks every inquiry to resolution. Four Eyes Case Management turns surveillance alerts, account exceptions and advisor requests into cases with an owner, a team, a due date and a full history, so nothing is resolved in email or spreadsheets.
How do Risk7 surveillance alerts become cases?
Risk7 alerts become cases with one action. From Risk7 Alert Review, a supervisor or an analyst opens an inquiry that creates a case pre-filled with the client and account, and the case appears beside the alert. When the case closes, the related alerts are cleared with the case outcome. Beyond Risk7, cases can open from more than 20 surveillance and report sources, including transaction and account exceptions, KYC and KYP reviews, inactivity, commissions, cancellations and mandate drift.
How are cases routed and assigned?
Cases are routed by team, supervisor or advisor group, owner and rules. Each category has a default team, and no-code routing rules, which compliance can test before publishing, assign cases automatically, for example sending urgent surveillance cases to a senior reviewer. Rules never override an assignment a person has made.
How are SLA deadlines tracked?
SLA deadlines are tracked on business days. Each case gets a due date calculated on a business-day calendar, and the workbench flags cases as on track, at risk or breached, with deadlines met and missed reported once cases close.
Can advisors see and respond to cases?
Yes, within limits. Advisors can raise service and operations requests, such as account opening, corrections, internal transfers and money movement, and reply through their own inbox for their own book, but they never see internal notes, case history or restricted cases such as AML referrals.
How does secondary approval work on cases?
Secondary approval requires an independent approver. Cases that need sign-off move to pending approval, where someone other than the creator or owner must approve them. Approved cases can only move to closed, and every closure records a written rationale.
How does Case Management relate to Client Complaints?
Case Management and Client Complaints stay connected without merging. Complaints keep their CIRO-specific workflow in Client Complaints, and a case can link to a complaint or a CRM record, showing its current status alongside the case.
Are advisors notified, and can they reply by email?
Yes. Statuses can trigger email notifications, and each case has its own reply-to address, so an email reply is added to the case conversation instead of getting lost in an inbox. Case Management can also be integrated with the firm's CRM, so advisors can respond within their existing workflows.
Can firms configure categories, statuses and routing rules?
Yes. Each firm sets its own case categories and types, statuses, priorities and routing rules, in English and French, so the workflow matches how its compliance and operations teams actually work.
What reporting does Case Management provide?
Case Management reports on deadlines and workload. Leadership can search open, closed and archived cases, see the share of deadlines met and breached, and export results to CSV. Closed cases archive automatically and can be unarchived when needed, and an advisor's reply reopens an archived case so nothing is missed.
How does Case Management support supervisory obligations?
Case Management documents supervisory follow-up on every inquiry. Each case records who reviewed a surveillance alert, the investigation, the decision and the written rationale, helping firms evidence supervisory review under FINRA Rule 3110 and CIRO Rule 3900.
Beyond Cases
Connect Cases to Surveillance and Complaints
Case Management works alongside Risk7 surveillance and Client Complaints on the same client records, so every inquiry, alert and complaint stays connected.