Protect arc · Monitor to Comply

ROWAN

Regulatory Operations, Workflow & Notifications Agent

To coordinate the regulatory response so that the team can focus on the decision rather than the logistics.

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Employee IDPXN-M2C-004

ROWAN

Regulatory Operations, Workflow & Notifications Agent

Position
Regulatory Response
Value chain
Monitor to Comply
Reports to
General Counsel · Chief Compliance Officer
Measured on
Response timeliness against each applicable framework
Authorised · Logged · ReversibleRuns in Finance and Risk and HR

What would you do if a regulator contacts you tomorrow?

The question ROWAN is hired to answer. The chart shows who holds the position and where the decision goes when it is not ROWAN's to make.

Work chart

  1. AccountableGeneral Counsel · Chief Compliance Officer
  2. Position held byROWAN
  3. Escalates toGC and CCO · Board · External counsel · Senior management

With ROWAN in the roleThe response window, the evidence pack and the draft are ready, and the documents are where we said they would be.

ROWAN tracks deadlines, issues controlled evidence requests, assembles evidence, prepares drafts, maintains the matter log. The response pack, with the draft, evidence inventory and deadline.

The number ROWAN is measured on

Every digital coworker is hired against one primary measure, agreed and baselined before build. The others are read alongside it so the primary cannot be moved at their expense.

Primary measure

Response timeliness against each applicable framework

  • Evidence assembly and draft production time
  • Privilege review completion before production
  • Matter log completeness
  1. 01

    The deadline tracked from receipt, not discovered when it is close

  2. 02

    Evidence assembled through a controlled channel, with privilege review before production

  3. 03

    A consistent narrative across contributing teams, instead of parallel responses assembled independently

  4. 04

    Drafts ready for legal review, so the legal team decides rather than also writes

  5. 05

    A matter log that answers the regulator if they return

What ROWAN does alone, and what stays with your team

ROWAN reports to the General Counsel · Chief Compliance Officer. Anything outside the written boundary goes to GC and CCO, board, external counsel or senior management, with the evidence attached.

“Authorised. Logged. Reversible.”

Authority, and yoursPXN-M2C-004
Does this aloneTracks deadlines · issues controlled evidence requests · assembles evidence · prepares drafts · maintains the matter log
RecommendsThe response pack, with the draft, evidence inventory and deadline
EscalatesPrivilege decisions → legal, before any evidence is produced · Material regulatory exposure and board-level matters → GC, CCO and external counsel immediately · Missed or at-risk deadlines → the GC immediately, because a late submission to a regulator is itself a compliance event · Any unresolved question about the scope of a regulatory request → external counsel before responding
General Counsel · Chief Compliance Officer
ProxyN outcome lead

ROWAN's skills, and the workday

ROWAN opens and maintains the matter record, identifies the applicable framework and deadline, marshals evidence requests through a controlled channel, routes for privilege review before production, tracks evidence assembly, drafts the cover letter and response summary, coordinates the narrative review, tracks submission and any follow-up, maintains the matter log.

  • Tracks regulatory contacts, requests and deadlines by matter
  • Marshals evidence on a controlled, privilege-aware basis
  • Identifies the deadline and the response framework that applies
  • Drafts the cover letter and response summary
  • Coordinates the narrative across contributing teams
  • Maintains the matter log for privilege, audit and subsequent reference

  1. Reads from Finance and Risk and HR

  2. Opens and maintains the matter record

  3. Identifies the applicable framework and deadline

  4. Marshals evidence requests through a controlled channel

  5. Routes for privilege review before production

  6. Tracks evidence assembly

  7. Drafts the cover letter and response summary

  8. Coordinates the narrative review

  9. Tracks submission and any follow-up

  10. Maintains the matter log

  11. Your team decides

The other digital coworkers in Monitor to Comply

Each role understands the work either side of it. See how Monitor to Comply runs end to end.

Get started

Stop Buying Platforms. Start Hiring Outcomes.

Bring one workflow and the person accountable for it. In the first session we map the process, establish the baseline logic and tell you whether there is a number worth signing. If there is not, we will say so.

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