Document Management for Financial Services
Keep supporting documents together, choose who can see them and send them for review. Give auditors access to the available records.
Request a DemoBuilt for Audit Review
Controlled Changes
Versioning, checkout, active-workflow locks, legal holds and WORM-related controls restrict supported changes to documents. Whether this meets a specific regulation needs your own assessment.
Configurable Retention
Set retention periods that reflect your own policy and legal advice. Retention actions skip held, vital and active records.
Tamper-Evident Audit Records
Review recorded document activity, export audit logs as CSV and run an integrity check that makes tampering evident.
Illustrative finance scenario
Review documents for an approval
Keep the supporting documents for an internal approval accessible to reviewers and auditors.
Steps
- 1Upload sample supporting PDFs.
- 2Check the reference and other required details.
- 3Start the approval workflow.
- 4Reviewer checks completeness.
- 5Reviewer approves or rejects.
- 6Auditor exports the permitted document list or audit records.
Who is involved
- Submitter
- Reviewer
- Auditor
What your team sets up first
- A document category with required reference fields
- Review steps set up by your team
- Permission for the auditor to download files and export activity records
Separate path, not part of the steps above
If something goes wrong
Missing evidence leads to rejection and a corrected submission in a new review.
What you have at the end
Reviewed documents, decision history and permitted CSV or file exports.
What this example does not do
No transactions, accounting entries, underwriting or regulatory approvals. Exports are capped per request and respect permissions.