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Compliance Built
Into Every Workflow.
Embed supervision and compliance directly into the way your team works so every trade, review, and approval is automatically tracked, policy is always enforced, and your team stays audit-ready.
Supervision baked in,not bolted on.
From configurable approval rules to identity enforcement and role-based access,compliance is built into how the platform works by default.
Configurable Approval Rules
Set the rules once. The workflow enforces them.
Compliance and operations teams define step-level approval rules that gate case progression until designated reviewers sign off. Pending approvals surface in the reviewer's task list with clear "Awaiting Approval" messaging for all parties. No manual chasing required.
- Step-level approval gates configured per workflow
- Pending approvals surface in reviewer task lists automatically
- Cases blocked from advancing without required sign-off
- No backend development required to configure new rules
Operations Workspace · Approval Gate
Klein · RRSP Application
See Supervision in your workflows
Walk through how your firm keeps every approval on record, every case audit-ready, and your compliance team focused on what matters.
Why firms choose
OneVest Supervision?
Three outcomes that change how your compliance team operates.
Supervision That Runs With Your Workflows
Approval rules, suitability checks, and identity requirements are enforced at the step level, not reviewed after the fact. Cases cannot progress until the right people have signed off, so nothing slips through.
- Step-level approval gates on every case workflow
- Designated reviewers notified with "Awaiting Approval" status
- Workflows blocked until compliance conditions are met
An Audit Trail That Builds Itself
Every change to client records, case steps, documents, and account data is captured with timestamps. When an examiner asks, your records are already complete.
- Immutable log of every advisor and client-driven action
- Actions timestamped and attributed to a user
- Documents and case history permanently linked to client records
Protect Client Data Without Manual Oversight
Sensitive PII is masked in real time and encrypted at rest. Role-based access ensures advisors see only their book of business, and compliance officers access exactly what they need, nothing more.
- Real-time masking for SSNs, SINs, and tax IDs
- Role-based access enforced at the API layer, not just the UI
- Team-scoped book of business keeps advisor access contained
Questions about Supervision
Ready for compliance that
works without the manual lift?
See how OneVest keeps every workflow audit-ready, every approval on record,
and your compliance team focused on complex matters, not administration.