New Regulation Training Assignment Automation
A done-for-you professional services automation built for the Compliance Officer, connecting Slack, Airtable, and Google Sheets so the work below happens on its own.
What this automation does, step by step
When a new compliance regulation is identified, the automation automatically assigns the required training module to relevant staff with a tracked completion deadline, instead of the compliance officer manually identifying who needs the training and chasing down completion one person at a time.
Staff who haven't completed the assigned training as the deadline approaches are automatically flagged for a reminder, and the firm gains a clean, dated record proving every relevant employee was actually trained on a regulatory change, exactly the kind of documentation that matters most during an examination.
- A CRM
- Zapier or Make.com
- Slack (internal deadline alerts)
- Google Sheets or Airtable (return status dashboard)
Using different software? We build around what you already have, so you never have to switch tools to automate.
The manual way vs. the automated way
Without automation
Left to a person, this means a compliance officer re-enters the same data more than once, double-checks it by hand, and still occasionally misses something. It's the kind of work that quietly eats hours every week.
With this automation
- Interview scheduling without email ping-pong
- New hire paperwork and account setup before day one
- Certification and license expiration alerts
- Timesheet and time-off workflows that route themselves
Often built alongside this one
Advisor Licensing & CE Credit Tracker
The automation internally tracks each advisor's required licensing and continuing education credits, alerting both the advisor and the HR and…
Policy Review Cycle & Employee Attestation System
Information security policies are tracked with annual review dates, and the assigned policy owner receives a review reminder 60 days before the…
Safety Training Compliance Tracking
Every employee's required safety certifications, from OSHA basics to equipment-specific training, get tracked with expiration dates in an Airtable…
Consent Form Expiration Renewal Alerts
Every consent document that carries an expiration date, including HIPAA acknowledgments, telehealth consents, and chronic care plans, is tracked…
Regulatory Change Client Notification System
The automation monitors relevant regulatory or tax law changes and automatically notifies affected clients with a brief, plain-language explanation…
Internal Compliance Filing Deadline Tracker
Internal compliance filings, ADV updates, license renewals, required regulatory disclosures, are automatically tracked with alerts sent to the…