Protect arc · Monitor to Comply

ROWANRegulatory Response digital coworker

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

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Regulatory Response · Monitor to Comply

ROWAN

PXN-M2C-004

Regulatory Operations, Workflow & Notifications Agent

Reports to
General Counsel · Chief Compliance Officer
Runs in
Finance · Risk and HR
Measured on
Response timeliness against each applicable framework
Authorised · Logged · Reversible

What would you do if a regulator contacts you tomorrow?

The response window, the evidence pack and the draft are ready, and the documents are where we said they would be.

Business outcomes

  • The deadline tracked from receipt, not discovered when it is close
  • Evidence assembled through a controlled channel, with privilege review before production
  • A consistent narrative across contributing teams, instead of parallel responses assembled independently
  • Drafts ready for legal review, so the legal team decides rather than also writes
  • A matter log that answers the regulator if they return

Measured on

  • Response timeliness against each applicable framework
  • Evidence assembly and draft production time
  • Privilege review completion before production
  • Matter log completeness

What ROWAN does alone, and what stays with your team

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

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

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

The other digital coworkers in Monitor to Comply

Each role in the chain 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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