Prepare record requests for privacy review.
Records teams chase incomplete authorizations.
Est. deploy 4–6 weeksSee the walkthrough
Compliance & Review · Financial Services
Move reviewed meeting notes into the archive.
Notes and follow-up commitments miss the compliance record.
For: Supervising advisors and the team responsible for compliance & review in financial services.
01 · The outcome
What good looks like.
The team has an approved CRM update and immutable archive entry, with source evidence and an explicit approval before any external action. Track meetings archived within policy deadlines against a baseline; do not assume automation improves it.
A connected workflow that uses consented transcript, retention policy, and CRM field map to draft factual notes and tasks with source timestamps, separating discussion from advice. It produces an approved CRM update and immutable archive entry.
Where AI helps, and where a person decides.
AI can draft factual notes and tasks with source timestamps, separating discussion from advice. It drafts and organizes; it does not authorize spending, commitments, clinical decisions or customer communication. The supervising advisor verifies the source facts and approves the final action.
Supervising advisor is accountable. People approve customer-facing, sensitive, financial, and legally binding actions.
- Supervising advisor: Capture the source and scope
- Supervising advisor: Review the proposed outcome
- Supervising advisor: Release only the approved version
- Supervising advisor: Check the result and exceptions
A named person approves customer-facing messages, spending, record changes and binding commitments before release. Pre-approved scripts are versioned; exceptions stop for review.
02 · The handoffs
How the work moves.
Every handoff has an owner. Select a step to open or close its detail.
Start when: A consented meeting transcript is available. Connect only consented transcript, retention policy, and CRM field map. The supervising advisor confirms the request is authorized and in scope.
Ready when: The source reference, permissions and accountable owner are recorded.
Use the authorized records to draft factual notes and tasks with source timestamps, separating discussion from advice. Preserve the original language alongside the draft and label uncertain fields.
Ready when: Each proposed fact links back to a source, and missing information is visible.
Check an approved CRM update and immutable archive entry against the original records and current policy. Correct errors and escalate exceptions to the qualified specialist; do not auto-approve.
Ready when: Supervising advisor has recorded approval or a reason to hold the item.
After explicit approval, save an approved CRM update and immutable archive entry in the system of record. Send only approved messages to verified recipients. Record the version and prevent duplicate delivery.
Ready when: The approved record is saved; any delivery is confirmed or placed in the retry queue.
Review meetings archived within policy deadlines each week, sample completed records for quality, and resolve held items. Change the rules only after reviewing actual errors and staff feedback.
Ready when: Exceptions have owners, the metric has a baseline, and corrective actions are assigned.
Sample record.
$ david run --workflow=finance-meeting-archive
ILLUSTRATIVE RECORD / NOT LIVE CUSTOMER DATA
- Example
- Illustrative only — not a real client record
- Reference
- FINANCE-MEETING-ARCHIVE-DEMO-001
- Trigger
- A consented meeting transcript is available.
- Owner
- Supervising advisor
- Prepared output
- an approved CRM update and immutable archive entry
- Review status
- Awaiting human approval — no external action taken
- Missing information
- Owner to verify source completeness
- Measure
- Meetings archived within policy deadlines
Start with your tools.
Connect Salesforce, Microsoft 365, Compliance archive through approved APIs or controlled exports. Map record identifiers first; test permissions and field updates in a sandbox. Vendor names describe possible connections, not a guarantee of an available integration or license.
When things go wrong.
- A named person approves customer-facing messages, spending, record changes and binding commitments before release. Pre-approved scripts are versioned; exceptions stop for review.
- Use only authorized sources and role-based access. Keep an audit trail of source records, drafts, approvals and delivery status; deduplicate retries.
- If an integration fails, a source is missing or confidence is low, pause the action and assign the original request to the accountable owner.
- For financial or insurance work, a properly licensed professional approves recommendations, coverage, suitability and binding actions. Apply the firm's supervision, retention and advertising rules.
Try this week / no DAVID required
A useful first step.
This week, have your supervising advisor time five examples of this work. Use redacted copies of consented transcript, retention policy, and CRM field map to make an approved CRM update and immutable archive entry manually, then list which fields required judgment.
What to measure.
- Meetings archived within policy deadlines
- Minutes of human handling per completed item
- Drafts needing substantive correction
- Exceptions unresolved beyond the agreed review window
Estimate your time back.
20.8
$11,232
03 · More workflows to consider
Related workflows.
Prepare conflict checks before intake proceeds.
New inquiries lack the names needed for conflict review.
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Check certificate requests before issuance.
Certificate wording can exceed the actual policy.
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