CASE STUDY · REGTECH
RegTech & compliance automation: compliance evidence as a continuous workflow.
Illustrative scenario · Sector: FinTech, banking, insurance and enterprise compliance · Solution partner: Brandsmashers Tech
- 15 → 5 daysTarget evidence-collection cycle
- 120 → 35Target manual compliance tasks per quarter
01 · PROJECT OVERVIEW
From storing documents to knowing the state.
Compliance teams frequently need evidence from multiple systems and multiple business owners. The process becomes a recurring cycle: request, follow up, collect, validate, re-request, consolidate, report.
The technology challenge is not simply storing compliance documents. It is a system that knows the state of every control.
- Mapping controls and requirements in one place
- Building evidence connectors to cloud, HR, IT, security and business systems
- Scheduling automated evidence collection with owners for every request
- Exception management and a real-time audit dashboard
- 1Which control needs evidence, where it exists and who owns it.
- 2When it was last collected, and whether it is still valid.
- 3What exceptions exist and what is still outstanding.
02 · THE CHALLENGE
The quarterly scramble.
Consider a fintech managing 18 compliance controls and 6 evidence sources, with 120 manual compliance tasks and 45 owner follow-ups every quarter. Each evidence-collection cycle takes about 15 business days.
- PROBLEM 0115-day collection cycles
Every audit period starts a three-week round of requests and reminders.
- PROBLEM 02120 manual tasks a quarter
Evidence is gathered, checked and filed by hand across six sources.
- PROBLEM 0345 owner follow-ups
Compliance staff chase business owners instead of reviewing evidence.
- PROBLEM 04No live view of readiness
Missing or expired evidence is discovered late, often just before an audit.
Turn compliance evidence from a quarterly scramble into a continuous workflow.
03 · THE APPROACH
Six building blocks for continuous compliance.
A centralised compliance workflow that collects evidence on schedule, assigns ownership and surfaces exceptions as they happen.
- 01Control management
Centralised mapping of controls and requirements.
- 02Evidence connectors
Integrations with cloud, HR, IT, security and business systems.
- 03Automated collection
Evidence collected on predefined schedules.
- 04Ownership
Every control and evidence request assigned to a responsible owner.
- 05Exception management
Missing, expired or failed evidence tracked to closure.
- 06Audit dashboard
Real-time visibility into compliance readiness.
- 1→Control mapped
- 2→Evidence collected
- 3→Owner assigned
- 4→Validated
- 5→Exceptions tracked
- 6Audit ready
04 · RESULTS
Illustrative improvement.
Instead of preparing for audits through periodic manual exercises, the organisation moves toward continuous compliance readiness.
| METRIC | BASELINE | AUTOMATED MODEL |
|---|---|---|
| Controls | 18 | 18 |
| Evidence sources | 6, collected manually | 6, integrated |
| Evidence collection | 15 business days | 5 business days |
| Manual tasks a quarter | 120 | 35 |
| Owner follow-ups | 45 | 15 |
This is an illustrative operational model with modeled figures. Regulatory requirements and claims must be validated for the target jurisdiction.
- 5 daysEvidence-collection cycleFrom 15 business days.
- 35Manual tasks per quarterFrom 120.
- 15Owner follow-ups per quarterFrom 45.
- 6 of 6Evidence sources integratedCloud, HR, IT, security and business systems.
- Faster evidence collection
Scheduled collection replaces rounds of requests.
- Fewer follow-ups
Owners are assigned and reminded automatically.
- Better accountability
Every control has an owner and a current status.
- Audit visibility
Exceptions and readiness are visible in real time.
05 · DELIVERABLES
How Brandsmashers would build it.
- Control managementA central map of controls, requirements and evidence.
- Evidence connectorsIntegrations with cloud, HR, IT, security and business systems.
- Workflow automationScheduled collection, ownership and reminders.
- Exception managementTracking for missing, expired or failed evidence.
- Audit dashboardReal-time readiness and centralised reporting.
- Integration
- APIs and connectors to cloudHRIT and security systems
- Workflow
- SchedulingOwnershipRemindersException tracking
- Data
- Evidence storageValidationReporting
- Quality
- QA and automated testing of connectors and workflows
TAKEAWAYS
Why Brandsmashers.
- 01Map every control to its evidence, source and owner.
- 02Collect evidence on a schedule, not on request.
- 03Surface exceptions as they happen, not before the audit.
- 04Keep regulatory judgement with qualified professionals.
- FinTech
- Banking
- Insurance
- SaaS
- Enterprise compliance
YOUR TURN
Tired of the quarterly compliance scramble?
RegTech needs integrations across many enterprise systems. Brandsmashers provides developers, cloud engineers, integration specialists, data engineers and QA professionals to build and maintain them.