Compliance Workflows

The Compliance Workflows endpoint is where you begin onboarding Customers to your Program. Compliance Workflows are used to group all of the required Compliance Documents together and to ensure they are presented and acknowledged in the correct order.

Compliance Documents are any collateral that a Customer must acknowledge before accessing a Service Offering. These may be e-sign agreements (contracts), cookie usage acknowledgments, or any documentation that must be made available to a Customer at some point during onboarding before the Custodial Account can be opened. These documents are defined by the Custodian(s) participating in your Program.

The Compliance Workflows endpoint supports your request for documents, your supply of acknowledgements, and a method for viewing your Customer’s progress within the compliance onboarding process.

All of the documents that a Customer must acknowledge across all steps are available in the all_documents array when beginning a Compliance Workflow. The documents that a Customer has acknowledged are available in the accepted_documents array.

Rize supplies Compliance Documents in Steps. All documents in a Step must be acknowledged before the documents in the subsequent Step will be supplied. The documents that are awaiting acknowledgement in the current Step are available in the current_step_documents_pending array. Once Rize receives the acknowledgements for all documents in the current Step, the documents in the next Step will be supplied.