A Severity-Ranked Queue
Low, medium, high and critical. The more urgent it is, the more visibly it is raised.
Compliance Officers
Review The Evidence. Own The Call.
Glynac does the comparing and the watching.
MediumDocumented, evidence-linked
The challenge
Why It Takes More Than A Checklist
Much of a compliance officer’s week goes to gathering context: pulling filings, reading emails, checking vendors, asking advisors. Glynac moves that work in front of the report so your time goes into judgment.
Every report carries its source, its reason and a severity. You decide, and the decision is kept with the evidence.
What you get
What Changes For You
Source Context On Every Report
What it found, why it surfaced, and where the data came from.
Thresholds You Control
ADV gap and clone-risk settings are firm settings. Engagement thresholds are adjustable for your firm.
Audit-Ready Documentation
Action Taken or No Action Needed, with your reason, kept beside the evidence.
In practice
Your Review, Step By Step
1
1
Open the alerts feed, or ask Ava what needs your attention. High and critical reports come first.
2
2
Open a report and read its source, its reason and its severity.
3
3
Ask Ava why it surfaced. She brings in a specialist when the question needs one.
4
4
Decide, and close it as Action Taken or No Action Needed. Closing is final.
Workflows
The Live Workflows
Each has its own page with scope, cadence and limits.
Weekly and monthly
13F Intelligence
Crowded positions, clone risk and strategy drift, checked against the wider market of institutional filings.
Weekly
Form ADV Monitoring
Flags when the AUM in your Form ADV Part 2A brochure drifts away from your live book.
Daily
Marketing Compliance
Reviews outbound marketing email in Microsoft 365 against the SEC Marketing Rule, every day.
Daily
Vendor Due Diligence
Watches for breaches, outages and regulatory action at your vendors, with a citable source for every finding.
Ongoing
Client Relationship Monitoring
Flags client relationships that are going cold, before the client starts looking elsewhere.
Roles
Which Workflow Helps Which Role
Some workflows are for the CCO alone, and some give the advisor a part to play.
| Workflow | CCO | Advisor |
|---|---|---|
| 13F Intelligence | Yes | Yes |
| Form ADV Monitoring | Yes | Not applicable |
| Marketing Compliance | Yes | Yes |
| Vendor Due Diligence | Yes | Not applicable |
| Client Relationship Monitoring | Yes | Yes |
Roles
Who Uses It, And How
Reviews and decides
CCO
Opens each report, assesses the evidence and closes it with a reason.
Triages
Compliance analyst
Works the queue by severity and prepares reports for the CCO.
Corrects and follows up
Advisor
Gets specific findings to act on instead of general reminders.
Best fit
Where Glynac Fits Best
- Chief Compliance Officers at advisory firms
- Compliance teams that review by hand today
- Firms that need documented, defensible decisions
- Workflows where a person, not software, makes the call
When to start
Signs It Is Time
- Review time going into collecting context
- Issues surfacing only after an email has gone out
- A stale disclosure found at exam time
- Vendor trouble that reaches you from a client or a headline
Questions
Compliance Officers: Good To Know
No. It surfaces, explains and prioritizes. It never asserts a definitive violation and never gives legal advice. You make the final call.
Every report names its source and its reason, and you can ask Ava why it surfaced. Crowding and clone-risk scores are calculated, and you can see how.
ADV gap and clone-risk thresholds are changed by your firm admin. Client-engagement thresholds are adjustable by asking Clara in chat.
It is closed as Action Taken or No Action Needed, with your reason. Closing is final and cannot happen by accident.
Request a demo
See Glynac On A Firm Like Yours
A walkthrough with our team, using the workflows live today.