Alpheous·
Operator Console

Compliance Audit Log

The compliance audit log is the record of every outbound and approval action your firm's agents took, held for as long as an examiner might ask for it. This is what you pull when your Chief Compliance Officer, an auditor, or a regulator needs to see how a specific communication was handled and who signed off on it.

The compliance audit log showing recorded actions and their approved, flagged, or blocked outcomes.
Compliance Audit Log: the outbound and approval record, ready for an examination.

What's in the Record

Every entry is signed and chained to the one before it, so altering or removing an old entry breaks the chain and shows up as tampering. Entries are retained for seven years.

Your Alpheous team can export the log for a date range, narrowed to a specific kind of action, on request. The export is signed so what you hand over can't be edited afterward, and it can mask who took an action, for sharing outside your firm.

Reading an Entry

The page shows the last 14 days, newest first, up to 200 entries. Each row is one action, with columns When, Kind (what happened, for example a Work Queue card drafted or dismissed, or a morning brief delivered), Outcome, Actor (the person or the system), Entity (what it acted on), and Decision. Select a column heading to sort by it. The outcome is Approved, Flagged, or Blocked. Routine system activity, such as each CRM sync and each read of a stored credential, is still recorded but is not listed here, so the decisions stay readable. Approved covers anything that was approved, passed, or allowed to go out. Flagged covers anything that came back with a warning or needed a redline. Blocked covers anything a rule stopped outright. A glance band at the top totals Events, Approved, Flagged, and Blocked for the window you're looking at.

When someone selects Draft emails on a Work Queue card, the entry records who clicked, which card, the firm, and for each advisor whether a draft was written or why not. The compliance check on each individual draft is recorded separately, in the signed compliance-review record your Alpheous team can export; this page does not list those per-draft checks. Sending happens in your own mail app, so the send itself is not recorded here.

This is the record of outbound and approval decisions for your firm. For the platform's own record of general agent and system activity, see the Platform Event Log.