Turning Compliance into Evidence

Governance fails when written rules and daily work fall out of sync. Auditors then ask for proof that controls ran as written. Teams scramble through documents and systems to rebuild the story. You need an automated method that shows the link from regulation to transaction on demand.

1) Build a usable corpus

Collect policies, procedures, customer documents, and the governing regulations. Load them into a retrieval repository in Vertesia. Index content at clause level so reviewers can locate the exact sentence that governs a control and trace it to the source rule.

Why this matters: Compliance work stops being a PDF hunt and starts with verifiable text.

2) Check policy alignment to regulation

Compare each policy with the regulation it supports. Produce a change list with citations for any gaps or conflicts. Route those items to owners for revision and record the decisions.

Why this matters: Policy updates rest on evidence rather than opinion.

3) Link policy to process

Convert each standard operating procedure into BPMN XML and import it into a process tool. Define the happy path as the baseline for conformance. This creates a visible link between the control statement and the workflow step that enforces it.

Why this matters: You can demonstrate how a rule is implemented, not only that a rule exists.

4) Reconstruct actual operations

Import transaction records, such as on-boarding or claims, into ABBYY’s process‑mining environment. Build a digital twin of how work actually flowed. Run a conformance check against the BPMN model to surface skipped approvals, elapsed time limits, and off‑route activity, case by case.

Why this matters: Control execution is measured with facts from your own systems. Deviations become visible and quantifiable.

5) Diagnose and correct

Trace each deviation to its cause. Design issues point to outdated procedures or missing automation. Execution issues point to manual workarounds or training gaps. Assign owners, implement fixes, and verify the change on the next data run.

What leaders gain

• A documented chain from regulation to policy to process to transaction

• Faster closure of audit findings and fewer repeats

• A clear split between design problems and execution problems

• A repeatable review that scales across business units

Self‑check

1. Can your team retrieve the controlling clause for a key control in under 30 seconds?

2. Do your SOPs exist as BPMN artifacts that match the policy statements they enforce?

3. Do you run conformance checks on live transactions at least monthly?

4. Can you show a complete trace from regulation to a single transaction record in one view?

5. When a deviation appears, do you assign ownership, apply the fix, and verify it on the next run?

If any answer is “no,” the control environment will benefit from an external assessment.

Next step

Bring one policy area, one SOP, and one month of transactions to a working session with Doculabs and Vertesia. We will retrieve the governing clauses, show the policy‑to‑process map, and run a conformance check on your records. You will leave with specific gaps, the text that supports each finding, and a clear path to correct and verify.