FINRA Supervision Workflow¶
Version: v1.0.1 | Status: live | Domain: Compliance & Audit | Tier: 2
Automated retrospective supervision workflow for AI agent outputs to support FINRA Rule 3110 compliance in financial services organizations. This solution provides a post-delivery review queue, SLA tracking, escalation, and immutable audit logging fed by Microsoft Purview Communication Compliance.
Mapped Controls¶
Prerequisites¶
| Role | Requirement |
|---|---|
power-platform-admin |
Power Platform admin tenant role and Dataverse table creation access for the supervision queue and log schema. |
compliance-admin |
Microsoft Purview Compliance Administrator for Communication Compliance policy access and alert review. |
security-admin |
Entra Application Administrator or equivalent for service principal registration and consent. |
Verification¶
Create a test queue item and confirm rows appear in fsi_supervisionqueue and fsi_supervisionlog, then verify the Power BI supervision report shows the new item.
Documentation¶
| Document |
|---|
| Communication Compliance Setup |
| Dataverse Schema |
| Flow Configuration |
| Power Bi Setup |
| Prerequisites |
| Security Roles |
| Troubleshooting |
View source on GitHub { .md-button }