Module · Reviewer Workbench

Compliance Dashboard

The reviewer queue. Stats row up top, filterable table of all applications, slide-out drawer for per-application detail. Approve, reject, or request more info — every action is signed and audit-logged.

What this screen is

You will not see this screen. It is operated by Velocity Capital's compliance reviewers. When a reviewer touches your application, you are notified by email.

Your daily workbench. Live counts of pending, in-review, approved, and rejected applications. Filter by status or client type. Click any row to open the slide-out drawer with full applicant detail, document list, KYC result, and eSign envelope status.

Reads from applications joined with applicants, kyc_results, esign_envelopes. Approve / reject / info actions write to compliance_actions with reviewer ID, timestamp, reason, and immutable hash.

Why it exists

FINRA 4512(c) · Principal Approval New accounts must be approved by a registered principal before any trading. The dashboard provides the approval surface and records the principal's ID, timestamp, and basis for approval.

BSA / AML · Customer Due Diligence Enhanced due diligence for elevated-risk profiles is surfaced via filters. Reviewers can flag, escalate, or request additional documentation.

SEC Rule 17a-4(f) · WORM Storage Every approve/reject/info-request action is hash-chained and write-once-read-many for 6-year retention.

What the operator does

Scan the stats row — pending count is the queue depth
Filter the table by status, client type, or search term
Click a row to open the slide-out detail drawer
Review applicant data, KYC result, document list, eSign envelope
Take action: Approve · Request Info · Reject — reason required
Action fires notification email to applicant and writes audit row

What the system records

"event": "compliance.action", "action": "approved", "application_id": "VEL-009", "reviewer_id": "user_principal_42", "basis": "KYC passed, all docs signed, suitability met", "hash": "sha256:9c8b3...", "acted_at": "2026-06-21T18:34:00Z"

Live interactive demo · compliance.html

Hotspots — Compliance Dashboard

Sidebar filters — All Applications, Pending Review, In Review, Needs Info, Approved, Rejected, plus client-type filters (Pro / Hedge / Intro BD / Retail)
Stats row — live queue counts; clicking a stat applies the matching filter
Applications table — filterable by search, sortable; click any row to open the slide-out detail drawer
Role badge — shows COMPLIANCE for principal reviewers, OPS VIEW for read-only ops (approve/reject actions hidden)