A PLATFORM FOR
EFFORTLESS COMPLIANCE
I designed a regulatory inventory platform that cut manual compliance work by 40% and improved audit readiness for financial organizations managing complex regulations.
The challenge
Compliance teams in all industries face an overwhelming regulatory landscape: hundreds of frameworks, thousands of evolving obligations, and siloed documentation. Existing tools were fragmented, manual, and error-prone, leading to missed requirements, audit risks, and high operational costs. Our goal was to create a single source of truth. An intuitive solution that empowers users to:
• Rapidly subscribe to relevant regulations
• Track all obligations and changes in real time
• Streamline compliance workflows and reduce manual effort
The approach
Discovery and stakeholder alignment
• Conducted workshops with compliance officers, legal experts, and end-users to map their pain points and define success metrics.• Synthesized findings into clear user goals: “Help me build and maintain a regulatory inventory with minimal manual work, and never miss a change.”
Information architecture and glossary design
• Developed a modular entity hierarchy: Frameworks → Documents → Obligations → Controls.• Created a comprehensive glossary and visual models to bridge the gap between legal jargon and user understanding, ensuring every term (ex., “Applicable Law,” “Obligation,” “Control”) was clearly defined and surfaced contextually in the UI.
User-centric product specs
• Designed onboarding flows for users to subscribe to frameworks from a Grand Library, filter by metadata, and add relevant documents with a few clicks.• Built intuitive navigation: users can view their regulatory universe by frameworks, obligations, documents, or recent changes. All in one dashboard.
• Introduced smart search, customizable tables, and bulk actions to support power users managing large inventories.
Obligation extraction and change management
• Definition to create a robust criteria for obligation extraction, ensuring only actionable requirements were captured, not just definitions or references.• Designed a feature for system-generated previews of new, updated, or retired obligations, with clear change tags and audit trails.
• Developed workflows for archiving, deselecting, and re-adding frameworks/documents, ensuring compliance posture was always accurate and traceable.
Metadata and traceability
• Worked with engineering to define and surface rich metadata for every entity (ex., institution types, licensed activities, product types, financial instruments, impact levels).• Enabled users to manage applicability, coverage, ownership, and risk directly within the platform, with version history and audit logs for every obligation.
Iterative prototyping and validation
• Prototyped core flows in Figma and ran usability tests with compliance teams.• Gathered feedback on navigation, terminology, and workflows, iterated to reduce friction and cognitive load.
• Ensured the design system supported future scalability (ex., versioning, new domains, integration with controls and tasks).
Impact
• Reduced manual effort for compliance teams by an estimated 40% by automating obligation tracking and change management.
• Increased audit readiness and confidence, with every obligation and control traceable to its source and version history.
• Accelerated onboarding of new frameworks, users can add and configure compliance domains in minutes, not days.
• Improved user satisfaction: early adopters reported the platform was “the first tool that made regulatory complexity feel manageable.”
What I learned
• Translating legal complexity into usable digital products requires relentless focus on clarity, context, and user empowerment.
• Early, cross-disciplinary alignment (legal, product, engineering, end-users) is critical to designing systems that are both robust and intuitive.
• Building for change: versioning, audit trails, and modularity, future-proofs the product and builds trust with compliance professionals.
© Copyright 2024. All rights Reserved.
A PLATFORM FOR EFFORTLESS COMPLIANCE
A PLATFORM FOR
EFFORTLESS COMPLIANCE
I designed a regulatory inventory platform that cut manual compliance work by 40% and improved audit readiness for financial organizations managing complex regulations.
The challenge
Compliance teams in all industries face an overwhelming regulatory landscape: hundreds of frameworks, thousands of evolving obligations, and siloed documentation. Existing tools were fragmented, manual, and error-prone, leading to missed requirements, audit risks, and high operational costs. Our goal was to create a single source of truth. An intuitive solution that empowers users to:
• Rapidly subscribe to relevant regulations
• Track all obligations and changes in real time
• Streamline compliance workflows and reduce manual effort
The approach
Discovery and stakeholder alignment
• Conducted workshops with compliance officers, legal experts, and end-users to map their pain points and define success metrics.• Synthesized findings into clear user goals: “Help me build and maintain a regulatory inventory with minimal manual work, and never miss a change.”
Information architecture and glossary design
• Developed a modular entity hierarchy: Frameworks → Documents → Obligations → Controls.• Created a comprehensive glossary and visual models to bridge the gap between legal jargon and user understanding, ensuring every term (ex., “Applicable Law,” “Obligation,” “Control”) was clearly defined and surfaced contextually in the UI.
User-centric product specs
• Designed onboarding flows for users to subscribe to frameworks from a Grand Library, filter by metadata, and add relevant documents with a few clicks.• Built intuitive navigation: users can view their regulatory universe by frameworks, obligations, documents, or recent changes. All in one dashboard.
• Introduced smart search, customizable tables, and bulk actions to support power users managing large inventories.
Obligation extraction and change management
• Definition to create a robust criteria for obligation extraction, ensuring only actionable requirements were captured, not just definitions or references.• Designed a feature for system-generated previews of new, updated, or retired obligations, with clear change tags and audit trails.
• Developed workflows for archiving, deselecting, and re-adding frameworks/documents, ensuring compliance posture was always accurate and traceable.
Metadata and traceability
• Worked with engineering to define and surface rich metadata for every entity (ex., institution types, licensed activities, product types, financial instruments, impact levels).• Enabled users to manage applicability, coverage, ownership, and risk directly within the platform, with version history and audit logs for every obligation.
Iterative prototyping and validation
• Prototyped core flows in Figma and ran usability tests with compliance teams.• Gathered feedback on navigation, terminology, and workflows, iterated to reduce friction and cognitive load.
• Ensured the design system supported future scalability (ex., versioning, new domains, integration with controls and tasks).
Impact
• Reduced manual effort for compliance teams by an estimated 40% by automating obligation tracking and change management.
• Increased audit readiness and confidence, with every obligation and control traceable to its source and version history.
• Accelerated onboarding of new frameworks, users can add and configure compliance domains in minutes, not days.
• Improved user satisfaction: early adopters reported the platform was “the first tool that made regulatory complexity feel manageable.”
What I've learned
• Translating legal complexity into usable digital products requires relentless focus on clarity, context, and user empowerment.
• Early, cross-disciplinary alignment (legal, product, engineering, end-users) is critical to designing systems that are both robust and intuitive.
• Building for change: versioning, audit trails, and modularity, future-proofs the product and builds trust with compliance professionals.
© Copyright 2024. All rights Reserved.
© Copyright 2024. All rights Reserved.