Step-by-step compliance workflows in Moxo: Build and automate a compliance workflow from intake to audit
At a glance
Managing compliance through emails and spreadsheets causes missed steps, inconsistent records, and audit risk.
Workflow automation centralizes compliance processes within secure portals, ensuring structure, visibility, and accountability.
Moxo enables teams to design workflows that combine human approvals, automation, and AI for greater accuracy and efficiency.
Built with SOC 2 and GDPR alignment, Moxo ensures every workflow is secure, auditable, and ready for regulatory review.
The cost of not using structured compliance workflows
Without structured workflows, firms face delays, inconsistent evidence capture, and incomplete audit trails.
Falling back on email and spreadsheets raises the risk of missed deadlines, duplication, and security issues.
Compliance failures can lead to financial penalties or regulatory sanctions.
Firms that adopt automated, auditable workflows reduce risk and improve consistency in compliance documents.
Step-by-step tutorial: Build a compliance workflow in Moxo
Create a new compliance workflow in Moxo using templates
Select a prebuilt compliance template
Open the Moxo flow builder and choose a template such as KYC onboarding, audit preparation, vendor due diligence, or regulatory reporting.
Customize fields and requirements for your industry
Adjust the forms, disclosures, and evidence fields to match your regulatory environment (for example, GDPR-oriented questions, local tax forms, or healthcare privacy requirements).
Add compliance actions such as forms, file requests, approvals, and eSign
Collect regulatory documents securely
Use document collection features to request the required files. All uploads are encrypted and traceable.
Route approvals to compliance officers
Set approval steps with role-based permissions to ensure only authorized personnel can approve or reject items.
Capture legally binding e-signatures
Use eSign to gather legally binding consents or declarations. Each signature event is logged with time, user identity, and document version.
Add workflow controls with branches, decisions, and milestones
Use branching logic for jurisdiction-specific rules
Define different paths in the flow depending on region, risk level, or type of compliance requirement.
Insert decision checkpoints for risk approvals
Ensure certain steps require formal approval before proceeding.
Add milestones to enforce deadlines
Set clear milestones such as “documentation complete” or “audit ready,” with automatic escalation or reminders if deadlines are missed.
Automate compliance processes and connect integrations
Trigger flows automatically from CRM or case systems
Start workflows when a new client is onboarded, or when a status changes in your CRM.
Sync completed files with SharePoint or Box
Use Moxo’s integration capabilities to move completed evidence packages into your document storage systems.
Eliminate manual follow-ups with automated reminders
Set up rules so that tasks automatically trigger reminders or escalate when overdue.
Use magic links and notifications to keep clients and vendors on track
Allow external users to act without logins
Magic links enable clients or vendors to upload files, fill forms, or approve items directly via secure links without needing an account.
Send SMS, email, and in-app notifications
Keep everyone aware of pending tasks. Use reminders and escalation alerts to reduce lag.
Reduce bottlenecks in compliance approvals
These tools help avoid slowdowns, especially when many external parties are involved or when deadlines converge (e.g., monthly reporting or renewal seasons).
Enable AI agents in compliance workflows (optional)
Use AI to review documents before human approval
AI agents can scan uploads to check completeness, detect incorrect formats, or verify identity fields.
Deploy AI support agents for compliance FAQs
Allow external users or internal staff to get answers to common questions (for example, “Which form do I use for beneficial ownership?”) without waiting for human responders.
Pre-fill compliance forms with AI form assistants
Use past submissions to autofill certain fields, reducing effort and error.
Track compliance KPIs with Moxo management reporting
Monitor task completion rates and approval times
Use dashboard views to see how long each step takes (internal, external, approval) so you can spot delays.
Identify bottlenecks by team or stakeholder
Track where flows get stuck (e.g., external uploads, internal approvals) and adjust process or staffing accordingly.
Export audit-ready logs for regulators
All actions, file uploads, approvals, signatures, and decisions are logged. Export logs with timestamps, user identity, and document versions. Security features (SOC 2, GDPR, role-based access) ensure data integrity.
Case examples of compliance workflows in action
Accounting firm streamlines annual tax compliance
A regional accounting firm standardized its tax compliance flow using Moxo. Clients received magic links to upload required tax documents; AI agents flagged incomplete submissions; compliance officers reviewed approvals; and audit documentation was exportable. The firm reduced delays and improved invoice cycles.
Legal practice ensures audit-ready client onboarding
A law firm replaced email attachments with a workflow that requests IDs, disclosures, and consent via eSign. All approvals are tracked; decision branches ensure high-risk matters go through senior review. Regulators receive full histories without delay.
Financial services firm maintains KYC compliance
A wealth management team uses Moxo to run periodic KYC refresh workflows: external participants upload documents via secure client portals; advisors monitor status; dashboards show clients at risk of non-compliance so action can be taken proactively.
Why choose Moxo for compliance workflows
Moxo is built for external workflows with human involvement and regulatory visibility.
Security is deeply embedded: encryption at rest and in transit, SOC 2 practices, GDPR alignment, role-based access, and audit logs for every action.
Client portal gives external parties a branded, secure experience; workflows support custom flow building with branches, approvals, and AI; integrations connect to CRMs, document stores, and eSign services.
Business case for compliance workflow automation
Modernizing compliance workflows is no longer optional. It protects organizations from regulatory risk, reduces manual workload, enhances client experience, and allows teams to focus on higher-value tasks. Manual coordination through fragmented tools or email leaves too much room for error and non-compliance, increasing both cost and risk.
Structured, secure workflow automation delivers measurable ROI by saving time, improving accuracy, and reducing audit stress. With Moxo, compliance teams can standardize approvals, automate evidence collection, and maintain full visibility across every process.
Next step: Book a demo with Moxo to map your compliance process, import a starter template, and start measuring results. Use the workflow ROI calculator to estimate your efficiency gains and compliance savings.
FAQs
How secure is Moxo for compliance workflows?
Moxo uses encryption in transit and at rest, supports role-based access, SOC 2 practices and GDPR alignment. Audit trails, MFA or SSO options enhance security; external participants use scoped permissions via magic links.
How fast can workflows be implemented?
With templates and minimal configuration, you can launch a simple compliance workflow in days. More complex setups with integrations or AI agents may require additional time, but can follow an incremental rollout path.
Does Moxo integrate with existing tools?
Yes. Moxo integrates with tools such as Salesforce, HubSpot, DocuSign, SharePoint, and Box. APIs and webhooks enable custom connections to other systems.
Which industries use Moxo for compliance workflows?
Financial services, accounting, legal, healthcare, and consulting are among the primary users. Any industry subject to audits or regulatory obligations benefits.
How does Moxo improve ROI for compliance teams?
Moxo reduces manual follow-ups, improves visibility, accelerates approvals, and ensures audit-ready records. These improvements translate into fewer delayed compliance items, less staff time wasted, improved client satisfaction, and reduced regulatory risk.
