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Agentic Workflows
Compliance Review
Compliance Review uses agents to validate inputs, execute steps, escalate exceptions for human review, and record results in systems.
The compliance review workflow uses AI agents to evaluate workflows and processes, ensuring alignment with internal policies and regulatory requirements. It automates the validation of standards, providing actionable insights for maintaining compliance.
By incorporating AI agents in workflows such compliance reviews, businesses can minimize risks, enhance accountability, and identify vulnerabilities proactively. Leveraging agentic process automation ensures adherence to guidelines while promoting confidence in organizational operations. This workflow is particularly valuable for industries such as healthcare, finance, and logistics.
Comprehensive compliance reviews are essential for mitigating risks and avoiding penalties. Automating this workflow ensures efficient and reliable validation of workflows and processes.
Here are some use cases where this workflow can be applied:
Compliance Review is managed as a bounded compliance & risk process. It begins with an approved request and ends only after the result, status, exceptions, and required follow-up are recorded by the responsible legal owner.
Trigger
Compliance Review starts when the legal owner receives a qualifying request or record. It proceeds after the data and access needed to extract and review existing workflows and policies from the database are available.
How it works
Inputs and connected systems
Required inputs include the source request or record, the fields and documents needed to extract and review existing workflows and policies from the database, reference data for later validation, and approved access to each destination system.
Human decisions and exceptions
The Legal owner reviews missing information, policy exceptions, low-confidence results, and actions that change the final compliance & risk outcome. Approved cases continue; rejected cases return for correction or manual handling.
Controls and audit considerations
Compliance Review should use least-privilege access, required-field validation, auditable decision and write logs, and a stop condition when data is missing or confidence is below the approved threshold. The process owner defines retry, escalation, privacy, and rollback rules before release.
Outputs and stopping point
The workflow ends after the final approved action: Send recommended adjustments to address non-compliance areas. It writes the validated result to the approved system of record, records the outcome, and notifies the responsible owner when follow-up is required.
Related workflows
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