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.
I flagged 1 itemin this morning's review queue forKlein · RRSP Account:Equity buy order : This trade would place 38% of the portfolio in a single growth equity, outside the client's stated Moderate risk tolerance . It is held pending principal sign-off. The other 8 items in the queue pass every policy check.
29 minutes agoSandra Okonkwo
Route the Klein trade to our trading principal for sign-off, and approve the routine items since they all clear policy
SO
OVAssistantAI28 minutes ago
I've routed the flagged trade for principal review and cleared the routine remainder of the queue.Review Details:Item: Equity buy order · Klein · RRSP AccountRouted To: Marcus Hale, Trading PrincipalQueue Cleared: 8 routine items approved within policyReview Due: Friday, September 11, 2026Every routing decision and approval was logged with a time-stamped audit trail.
Show items awaiting principal reviewWhich approvals are due this week?Summarize today's audit log
Every step tracked. Every approval on record.
Approvals
Enforced at every workflow step
Audit-Ready
Every sign-off and case progression is documented automatically.
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.
Compliance and operations teams configure step-level approval rules through the settings UI without backend development. When a case reaches a gated step, it is locked until a designated reviewer signs off. Pending approvals surface in the reviewer's task list automatically, and all parties see clear "Awaiting Approval" status throughout.
Sensitive PII including SSNs, SINs, and tax IDs is handled with real-time input masking and server-side encryption at rest. Access to unmasked values is controlled by role-based permissions enforced at the API layer. Platform security also covers tenant isolation, GraphQL Shield with fallback-deny rules, and rate-limiting across all public endpoints.
Required identity documents are enforced at the workflow level. Advisors cannot advance past the identity step without supplying the required documentation. Applicable document types are surfaced based on account type, custodian requirements, and client jurisdiction, so advisors see only what is relevant for each specific case.
Viewer, Member, and Admin roles define what users can see and do platform-wide. Restrictions are enforced at the API layer, not just the UI. Team-based access controls scope each advisor's view to their assigned book of business, and organizational units support multi-tier access control and reporting segmentation for larger firms.
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.
