ELMA365 Store solutions / Compliance Management

Compliance Management

The Compliance Management workspace will help you to manage customer documents and ensure that they comply with applicable laws, organizational policies, and standards.

The workspace is used for two purposes:

  1. Checking client onboarding documents for compliance issues. When the customer’s application is added to the platform, the compliance checking and risk scoring process starts. The platform provides compliance managers with pre-configured workflows and tools to control the process.
  2. Checking documents of existing customers for compliance issues.  When a compliance manager finds out that the client’s documents are missing or invalid, the process of document request starts. The platform allows the Compliance department to engage both the Sales/Customer service department and the customers themselves in the Document request workflow.


Apps and business processes


The solution includes the following preset apps and processes:


Business processes in the app

Welcome page

No business processes. General description, video instructions.


No business processes. Charts showing statistics on the Onboarding compliance and Document compliance apps.

Onboarding compliance

Compliance checking.

Document compliance

Document request processing.

Document templates

No business processes. Templates for documents that customers need to upload.

Risk score parameter

No business processes. Parameters needed to assess risks.

Application types

No business processes. Types of applications that customers can submit.

Initial setup of the solution

  1. Import the pre-configured solution from the ELMA365 Store catalog or upload the .e365 file to the system.
  2. During the import process, you will be prompted to select users for each group configured in the workspace. If you didn’t do it right away, click the gear icon next to the workspace’s name and select Groups to set up user roles and add them to groups.


Groups and roles are used to:

    • configure the workspace’s visibility;
    • configure access to apps;
    • define who is going to participate in business processes.

In the Compliance Management workspace, there are two pre-configured groups.

Customer service team members are employees who contact customers and notify them that they need to find the necessary templates and reupload their documents on the portal. They are part of the Document request processing business process.

Compliance officers assess applications according to the organization’s policies and set risk scores. They can request additional information from the customer if the documents provided are not enough to approve an application. They are part of the Compliance checking business process.

You can configure access to certain apps based on groups. Read more in the Access Settings article.

  1. Add information to the Companies and Contacts apps in the CRM workspace.

You can create new items in the system in two ways:

    1. Manually. Click the creation button on the app page and fill out the form.
    2. Automatically. Integrate the platform with an external system using APIs. For example, app items can be created automatically as customers fill out a form on your website.

Начало внимание 

Make sure all the contacts in the CRM workspace that you use in the Compliance Management processes have the Full Name (code: _fullname) and Work email (code: _email) fields filled out. If they are left empty, the processes will not work correctly.

конец внимание

  1. In the Document templates app, add templates for documents that customers can submit. To add a new template, click the creation button, name the template, upload the template file to the form, and click Save. Templates that you create will be used in the Document request processing business process. All templates will be stored in the corresponding app.
  2. Create parameters that will help you to assess compliance risks in the Risk score parameter appThese parameters will be used in the Compliance checking business process.


  1. In the Application types app, add types of applications that a customer can submit (for example, financial aid or business loan).
  2. Configure your email settings so that you can inform your customers when you need additional documents. You need email for the Document request processing business process to run correctly.
  3. Enable the Service Portal to let your customers access certain pages of your system, get document templates and upload new documents.


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