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Compliance Monitoring Investment

Investment compliance monitoring and testing

Complexity: Moderate | Duration: 15-30m | Category: Industry/Financial Services

Tags: compliance monitoring investment trading

Workflow Diagram​

Steps​

Step 1: Check restrictions​

Agent: compliance

auditor - Verify trading compliance

Step 2: Monitor limits​

Agent: compliance

auditor - Check position limits

Step 3: Review trades​

Agent: compliance

auditor - Audit trade execution

Step 4: Identify violations​

Agent: compliance

auditor - Flag compliance issues

Step 5: Investigate breaches​

Agent: compliance

auditor - Research violations

Step 6: Report findings​

Agent: compliance

auditor - Document issues

Step 7: Remediate​

Agent: compliance

auditor - Correct violations

Usage​

To execute this workflow:

/workflow industry/financial-services/compliance-monitoring-investment.workflow

See other workflows in this category for related automation patterns.