UNUS London  โ€”  Solution Architecture Division  |  TIER 03 // ENTERPRISE COMPLIANCE PLATFORM
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03
Enterprise Compliance Platform

Five Systems.
One Complete
Compliance Platform.

The Enterprise tier is the complete UNUS London governance infrastructure. All five mini solutions for your industry, fully integrated, ISO and ITIL aligned, with AI-generated regulatory reports, an ITIL 4 Service Desk, a dedicated compliance architect, and a ยฃ1,500/month managed service that ensures your systems remain current, tested, and audit-ready.

ISO 9001:2015 ISO/IEC 27001:2022 ITIL 4 Aligned IEC 80000 Series ISO/IEC 19770-1:2017 SRA Code 2019 MLR 2017
5 Systems Deployed
14 Days to Production
โ‰ฅ97 Readiness Score
โˆž Audit Trail Depth
Enterprise โ€” Full Platform
Tier 03
Complete Compliance Platform
ยฃ31,347
one-time
+ ยฃ1,500 / month managed service
FULL CODE OWNERSHIP  ยท  NO VENDOR LOCK-IN  ยท  OPEN STACK
Platform Includes
โ˜… All 5 mini solutions, fully integrated
โ˜… AI-generated regulatory reports
โ˜… ITIL 4 Service Desk implementation
โ˜… ISO/IEC 27001:2022 aligned controls
โ˜… Quarterly architecture review
โ˜… Dedicated compliance architect
Managed Service (ยฃ1,500/month)
โœ“ Monthly system health check
โœ“ Regulatory change monitoring
โœ“ Schema update deployment
โœ“ Priority SLA (4-hour response)
โœ“ 90-day post-deployment support
14-day deployment guaranteed or money back

Every Mini Solution.
Every Regulatory Obligation.

The Enterprise tier deploys all five mini solutions for your industry in a single integrated platform. Select your industry to see the full suite.

MS 01  ยท  FCA SMCR
Statement of Responsibilities Database
smf_holders ยท responsibilities ยท version control ยท accountability chain ยท SoR generator
ยฃ1,547
โœ“ Included in platform
MS 02  ยท  FCA SMCR
Certification Regime Annual Assessment Tracker
certified_persons ยท assessment_records ยท due-date reminders ยท evidence pack generator
ยฃ1,497
โœ“ Included in platform
MS 03  ยท  COCON 2.1
Conduct Rules Breach Register
breach_register ยท investigation workflow ยท FCA notification tracker ยท deadline alerts
ยฃ1,447
โœ“ Included in platform
MS 04  ยท  FCA SUP 2.3
FCA Document Production Pack Generator
Pack generation workflow ยท evidence templates ยท PDF export ยท audit period filtering
ยฃ1,597
โœ“ Included in platform
MS 05  ยท  FCA TC 2.1
Training & Competency Evidence Register
training_records ยท regulatory mapping ยท expiry tracking ยท renewal reminders ยท gap view
ยฃ1,447
โœ“ Included in platform
Financial Services Platform total standalone value: ยฃ7,535  ยท  Enterprise deployment: ยฃ32,347 with AI reports, ITIL 4 Service Desk, dedicated architect, and managed service included.
MS 01  ยท  ISO 9001 ยง7.5
ISO 9001 Controlled Document Register
documents table ยท version control ยท review triggers ยท approval workflow ยท overdue alerts
ยฃ1,447
โœ“ Included in platform
MS 02  ยท  ISO 9001 ยง10.2
Non-Conformance Report (NCR) Tracker
ncr_register ยท root cause categories ยท corrective action tracker ยท trend analysis view
ยฃ1,397
โœ“ Included in platform
MS 03  ยท  ISO 9001 ยง9.3
Management Review Evidence Pack
review_records ยท KPI aggregation ยท scheduled generation ยท PDF assembly ยท action tracker
ยฃ1,347
โœ“ Included in platform
MS 04  ยท  ISO 9001 ยง7.1.3
Planned Maintenance Schedule Register
equipment_register ยท maintenance_tasks ยท overdue escalation ยท completion audit trail
ยฃ1,447
โœ“ Included in platform
MS 05  ยท  ISO 9001 ยง10.1
Equipment Downtime & Root Cause Log
downtime_events ยท root cause taxonomy ยท OEE calculation view ยท Pareto analysis ยท MTTR
ยฃ1,397
โœ“ Included in platform
Manufacturing Platform total standalone value: ยฃ7,035  ยท  Enterprise deployment: ยฃ32,347 with AI reports, ITIL 4 Service Desk, dedicated architect, and managed service included.
MS 01  ยท  CQC Well-Led
CQC Well-Led Evidence Register
evidence_register ยท CQC criterion taxonomy ยท readiness score ยท gap analysis ยท inspector report
ยฃ1,497
โœ“ Included in platform
MS 02  ยท  NHS Governance
Governance Committee Meeting Tracker
meetings ยท attendance register ยท decisions log ยท action tracker ยท quorum verification
ยฃ1,397
โœ“ Included in platform
MS 03  ยท  Freedom to Speak Up
Staff Feedback & Speak Up Register
feedback_register ยท anonymisation ยท triage workflow ยท resolution tracker ยท theme analysis
ยฃ1,347
โœ“ Included in platform
MS 04  ยท  NICE Guidance
NICE Guidance Implementation Tracker
nice_guidance table ยท implementation tracker ยท milestone tracking ยท overdue escalation
ยฃ1,447
โœ“ Included in platform
MS 05  ยท  NICE Clinical Audit
Clinical Audit Evidence Pack
audit_cycles ยท criteria table ยท data collection ยท re-audit scheduler ยท completed cycle archive
ยฃ1,397
โœ“ Included in platform
Healthcare Platform total standalone value: ยฃ7,085  ยท  Enterprise deployment: ยฃ32,347 with AI reports, ITIL 4 Service Desk, dedicated architect, and managed service included.

What Only Enterprise Unlocks

Six capabilities available only at the Enterprise tier. Not available as standalone add-ons.

๐Ÿค–
Exclusive
AI-Generated Regulatory Reports
Every weekly report includes an AI-generated executive summary interpreting the compliance data. The AI identifies patterns, flags deteriorating trends, and drafts the narrative section your principal needs to sign off โ€” reducing report review time from 45 minutes to under 5 minutes.
Reads all five system outputs โ€” not just one or two
Identifies trend deterioration before it becomes a breach
Drafts regulatory narrative in plain English suitable for principal sign-off
Every AI output is archived alongside the raw data that generated it
๐Ÿ—๏ธ
Exclusive
ITIL 4 Service Desk Implementation
Your compliance systems are managed through an ITIL 4-aligned Service Desk. Change Enablement controls govern schema updates. Incident Management handles system anomalies. Continual Improvement captures regulatory change requirements before they become audit findings.
Change Enablement โ€” all schema changes go through a controlled change process
Incident Management โ€” system anomalies logged, triaged, and resolved with SLAs
Continual Improvement โ€” regulatory updates trigger schema review tickets automatically
ITIL 4 Service Value Chain โ€” maps compliance evidence to service delivery
๐Ÿ›ก๏ธ
Exclusive
ISO/IEC 27001:2022 Controls Alignment
The Enterprise platform is designed against the ISO/IEC 27001:2022 Annex A control set. Information security controls, access management, and audit logging meet the standard structurally โ€” not by assertion. Every control is traceable to a specific database object or workflow node.
Annex A.5 โ€” Organisational controls mapped to RLS policies
Annex A.8 โ€” Technological controls mapped to triggers and constraints
Annex A.12 โ€” Logging and audit controls covered by the audit trail system
๐Ÿ‘ค
Exclusive
Dedicated Compliance Architect
A named UNUS London compliance architect is assigned to your account for the duration of the engagement. They handle all schema evolution, regulatory change impact assessment, and quarterly architecture reviews. You have a single point of contact who knows your systems inside out.
Named architect โ€” not a support ticket queue
Quarterly architecture review call with written output
Regulatory change assessment within 5 business days of publication
Priority access for urgent compliance questions
๐Ÿ“
Exclusive
ISO/IEC 19770-1:2017 IT Asset Lifecycle Governance
Every compliance system component โ€” PostgreSQL schema, n8n workflows, HTML frontends, build guides โ€” is registered as a managed IT asset under ISO/IEC 19770-1:2017. Version history, change control, and retirement records are maintained in the asset register. When a regulator asks for evidence that your compliance software is controlled and maintained, you produce the asset register in under 30 seconds.
Every schema version tracked as an IT asset with change history
n8n workflow JSON exports versioned and archived at each deployment
Software lifecycle management integrated with ITIL 4 Change Enablement
Decommission and replacement records maintained โ€” no orphaned compliance systems
Asset Register โ€” Live View
ComponentVersionStatusNext Review
supervision_events schemav2.4.1ActiveQ2 2026
matter_checklist workflowv3.1.0ActiveQ2 2026
readiness_report n8n (23-node)v1.7.2ActiveQ1 2026
precedent_library schemav1.2.0ActiveQ3 2026
frontend_supervision.htmlv2.1.3Review DueMar 2026

Compliance Systems Managed
as Service Assets

The Enterprise tier implements your compliance infrastructure within an ITIL 4 Service Value Chain. This means your systems are not static installations โ€” they are managed service assets with defined change processes, incident procedures, and continual improvement cycles.

When the SRA updates its supervision guidance, a Change Enablement ticket is raised, impact-assessed against your schema, and deployed through a controlled process โ€” not reactively discovered during an audit.

๐Ÿ”„
Change Enablement
ITIL 4 ยง5.2.4
All schema modifications, workflow updates, and frontend changes are assessed, approved, and deployed through a formal change process. Unauthorised changes cannot enter production without leaving an audit trail in the Change log.
๐Ÿšจ
Incident Management
ITIL 4 ยง5.2.5
System anomalies, workflow failures, and data integrity exceptions are logged as incidents. Each incident is triaged by severity, assigned to the responsible architect, and resolved within the SLA. A root cause analysis is completed for P1 incidents.
๐Ÿ“ˆ
Continual Improvement
ITIL 4 ยง5.6
Regulatory changes (new SRA guidance, MLR amendments, ISO standard revisions) are monitored and assessed against the current schema quarterly. Where gaps are identified, improvement tickets are raised and prioritised before they become compliance failures.
๐Ÿ”
Service Level Management
ITIL 4 ยง5.2.8
Defined SLAs cover evidence retrieval time (โ‰ค30 seconds), system availability (99.5%), incident response (4 hours for P1), and scheduled maintenance windows. SLA performance is reported in the quarterly architecture review.
ITIL 4 Service Value Chain
Value Chain Activities
Plan
โ†’
Improve
โ†’
Engage
โ†’
Design & Trans.
โ†’
Obtain & Build
โ†’
Deliver & Support
Service Performance โ€” Current Quarter
99.7% System Availability
22ms Avg Query Time
0 P1 Incidents
3 Changes Deployed
97.3 Readiness Score
4h P1 Response SLA
Open Improvement Items
โ–ฒ SRA supervision guidance update (Nov 2025) โ€” schema impact review in progress
โœ“ MLR 2017 amendment (Q3 2025) โ€” deployed v3.1.0, closed
โœ“ ISO/IEC 27001:2022 Annex A review โ€” completed Q4 2025, closed

Every Standard Mapped
to a Database Object

The Enterprise platform does not claim alignment โ€” it demonstrates it. Every ISO and IEC requirement is traceable to a specific table, trigger, stored procedure, or workflow node.

ISO 9001:2015
Quality Management System
ยง7.2Competence โ€” training_records table, competency score view, gap analysis view
ยง7.5Documented information โ€” controlled document register, version control schema
ยง8.1Operational planning โ€” request and approval workflow with SLA tracking
ยง9.1.3Analysis and evaluation โ€” management review evidence pack generator
ยง10.2Nonconformity โ€” NCR tracker with root cause, corrective action, verification
ISO/IEC 27001:2022
Information Security Management
A.5.15Access control โ€” Row-Level Security policies, role-based permissions per firm_id
A.8.15Logging โ€” immutable audit triggers covering all INSERT/UPDATE/DELETE events
A.8.16Monitoring activities โ€” compliance dashboard, overdue alert triggers
A.5.33Protection of records โ€” append-only audit_log table, no soft delete capability
A.8.9Configuration management โ€” ITIL 4 Change Enablement, version-controlled schema
ISO/IEC 19770-1:2017
IT Asset Management
ยง4.3Asset identification โ€” every schema, workflow, and frontend registered in the asset register
ยง4.4Lifecycle management โ€” version history, change control, retirement records maintained
ยง4.5Information management โ€” build guides versioned alongside the schema they document
ยง4.6Roles and responsibilities โ€” named architect assigned, accountability chain documented
ITIL 4 & IEC 80000
Service Management & Technical Standards
ITIL ยง5.2.4Change Enablement โ€” formal change process for all schema and workflow modifications
ITIL ยง5.2.5Incident Management โ€” 4-hour P1 SLA, root cause analysis, incident log
ITIL ยง5.6Continual Improvement โ€” quarterly regulatory change assessment and schema review
IEC 80000-13Data quantity units โ€” kB / MB / GB notation compliant, no mixed notations in documentation
IEC 80000-1Quantity symbols โ€” quantity notation in build guides follows IEC 80000-1 conventions

Reports That Write
the Narrative for You

Basic and Intermediate tier reports present the data. The Enterprise AI report generator interprets the data. The AI reads all five system outputs, identifies patterns and trends, flags deteriorating compliance positions before they become breaches, and drafts the executive narrative your principal needs to read โ€” not a raw score table.

The AI layer runs inside the n8n workflow. It is not a separate subscription. Every AI-generated narrative is archived in the report_history table alongside the raw data that produced it โ€” so you can always demonstrate what the AI said and why, if a regulator asks.

1
Five-System Data AggregationThe workflow queries all five compliance systems simultaneously. Supervision coverage, matter checklist completion, AML review status, precedent library currency, and approval workflow performance are all pulled in a single pass.
2
Four-Dimension ScoringEach compliance dimension is scored independently. The AI receives the raw scores alongside the trend data from the previous four weeks โ€” so it can tell whether a 94 is improving or deteriorating.
3
AI Narrative GenerationThe AI generates an executive summary, identifies the most significant compliance events of the week, drafts specific recommendations with regulatory references, and assigns a risk classification to each finding.
4
Principal Sign-Off & ArchiveThe report is emailed to the principal with a sign-off link. The signed report, the AI narrative, the raw scores, and the underlying query results are all archived in report_history. The archive is permanent and immutable.
AI Regulatory Report โ€” Week 10, 2026
AI-Generated
Executive Summary
This week's compliance position remains strong at 97.3/100, consistent with the four-week trend. One matter (CLT-2024-0851) requires immediate attention โ€” four opening checklist items are outstanding beyond the 5-day threshold. The AML position is clean. Supervision coverage has improved from 94% to 97% following three additional supervision events logged on 07 March.
Key Findings & Recommendations
๐ŸŸกMatter CLT-2024-0851 โ€” Checklist Overdue: 4 opening items outstanding. Fee earner J. Okafor. Recommend COLP follow-up by 11 March 2026 to prevent matter_status escalation to BLOCKED.
๐ŸŸขSupervision coverage increased to 97% (target: โ‰ฅ95%). 3 events logged this week. No fee earners are outside the 90-day supervision window.
๐ŸŸขAML compliance: 0 matters awaiting MLRO review. All high-risk matters cleared within 48 hours this week. Regulatory reference: MLR 2017 Reg 33.
๐ŸŸขAudit trail integrity: 100%. No records modified outside the approved n8n workflow channel.
Recommended action before next weekly report: COLP to review CLT-2024-0851 directly and either complete the outstanding items or raise a formal waiver through the COLP approval gate. Deadline: 11 March 2026.

Managed Service โ€” Your Systems
Stay Current. Always.

Compliance systems degrade without maintenance. Regulations change. PostgreSQL versions advance. n8n adds breaking changes. New SRA guidance creates new schema obligations. The managed service ensures your systems keep pace with the regulatory environment โ€” not your IT team's backlog.

At ยฃ1,500 per month, you have a named compliance architect responsible for maintaining the currency, integrity, and performance of your entire compliance infrastructure. If a regulatory change requires a schema update, it is assessed, built, tested, and deployed as part of the managed service โ€” not an additional invoice.

๐Ÿ”
Monthly Health Check
Full system health review: query performance, audit trail integrity, workflow error rates, and readiness score trend. Written report delivered monthly.
๐Ÿ“ก
Regulatory Change Monitoring
Your architect monitors SRA, FCA, ISO, and CQC publications. Relevant changes are assessed for schema impact within 5 business days.
๐Ÿ”ง
Schema Update Deployment
Schema and workflow updates required by regulatory changes are built, tested, and deployed through the ITIL 4 Change Enablement process โ€” no additional cost.
โšก
Priority SLA (4-Hour P1)
P1 incidents (system unavailable, audit trail failure, MLRO alert not firing) receive a 4-hour response SLA with named architect accountability.
๐Ÿ“‹
Quarterly Architecture Review
A formal quarterly call with your compliance architect covering: readiness score trends, regulatory change pipeline, schema evolution roadmap, and upcoming risk areas.
๐ŸŽ“
90-Day Post-Deploy Support
Three months of named-architect support following deployment โ€” covering team onboarding, process embedding, and any early-phase issues.
Managed Service Calendar โ€” Q1 2026
Example managed service schedule for a legal firm
January 2026
6 Jan Monthly system health check โ€” all 5 systems Scheduled
13 Jan SRA guidance update assessed โ€” no schema impact Regulatory
20 Jan Performance optimisation โ€” 3 indexes added (22ms โ†’ 14ms) Improvement
February 2026
3 Feb Monthly health check โ€” readiness score 97.1 โ†’ 97.8 Scheduled
14 Feb MLR 2017 amendment โ€” schema update v3.1.0 deployed Regulatory
March 2026
3 Mar Monthly health check โ€” all systems nominal Scheduled
9 Mar Q1 Architecture Review โ€” roadmap for Q2 agreed Quarterly

Full Stack โ€” Enterprise Grade

The Enterprise platform runs on the same open, portable stack as every UNUS London system. You own every component. If you choose to end the managed service, your systems continue to run โ€” you simply take over the maintenance responsibilities yourself.

Database EnginePostgreSQL 17.4 (Supabase UK)
Automation Enginen8n (self-hosted or cloud)
AI Report GenerationClaude Sonnet (via Anthropic API)
Hosting RegionUK (GDPR / DPA 2018 compliant)
AuthenticationSupabase Row-Level Security
Evidence Retrieval SLA< 30 seconds
Average Query Time< 25 ms (indexed, 5-system join)
System Availability SLA99.5%
P1 Incident Response4 hours
Source Code Ownership100% โ€” transferred Day 1
Ongoing Licence FeeNone (open stack)
Vendor Lock-inNone โ€” portable to any PostgreSQL host
ISO Standards9001 ยท 27001 ยท 19770-1 ยท 80000
Service FrameworkITIL 4 Service Value Chain
enterprise_readiness_view.sql โ€” 5-system aggregate
-- Enterprise: 5-system readiness score -- Queries all systems via shared firm_id   CREATE VIEW vw_enterprise_readiness AS SELECT f.firm_name, -- Dimension 1: Supervision Coverage round( (SELECT count(*) FROM supervision_events WHERE firm_id = f.id AND supervision_date >= now() - '90 days' ) * 100.0 / nullif(SELECT count(*) FROM fee_earners WHERE firm_id = f.id AND active), 0 , 1) AS supervision_score,   -- Dimension 2: AML Compliance (CASE WHEN count(m.id) = 0 THEN 100 ELSE round( ... ) END) AS aml_score,   -- Dimension 3 + 4 calculated similarly matter_quality_score, audit_integrity_score,   -- Composite score round( (supervision_score * 0.30 + aml_score * 0.30 + matter_quality * 0.25 + audit_integrity * 0.15) , 1) AS composite_readiness_score   FROM firms f WHERE f.id = 'af666fc8-602a-4beb-9c33-2665c180ba1f';   -- โœ“ 5 systems ยท 4 dimensions ยท 1 query ยท 22ms

14 Days. Five Systems.
Full Platform Live.

The Enterprise deployment adds the AI reporting layer, ITIL 4 Service Desk setup, asset register, and standards alignment documentation to the Intermediate timeline. Enterprise-exclusive phases are highlighted.

Days 1 โ€” 2

Enterprise Architecture Design & Sign-Off

Five-system discovery session. Full regulatory mapping across all applicable frameworks. Schema architecture for all five systems agreed. ITIL 4 service framework configured. ISO/IEC 27001 control mapping completed before build begins.

5-System Discovery Regulatory Mapping ITIL 4 Framework Config ISO 27001 Control Map Schema Sign-Off
Days 3 โ€” 7

Five-System Database Build

All five schemas built simultaneously with the integration layer. The enterprise readiness view (vw_enterprise_readiness) aggregates data from all five systems in a single query. Asset register is populated as each system component is created. Audit trail covers every table across every system.

Systems 1โ€“5 Schemas Cross-System FKs Stored Procedures Audit Triggers (ร—5) Enterprise Readiness View ISO 19770 Asset Register Dashboard Views RLS Policies (ISO 27001)
Days 8 โ€” 11

Workflows, AI Layer, ITIL 4 Service Desk & Frontend

Five n8n workflows built and interconnected. The AI report generation workflow configured with the Anthropic API โ€” prompt engineering, output formatting, archive node. ITIL 4 Service Desk change and incident workflows deployed. HTML frontends for all five systems built and tested.

Workflows 1โ€“5 MLRO / COLP Alerts AI Report Workflow Anthropic API Config ITIL 4 Change Workflow ITIL 4 Incident Workflow HTML Frontends (ร—5) Enterprise Dashboard UI
Days 12 โ€” 14

Full Platform Testing, Standards Validation & Handover

End-to-end testing across all five systems. AI report generated and reviewed. ITIL 4 change process walked through with your team. ISO/IEC 27001 control mapping verified against the live schema. Full source code and asset register transferred. 90-day managed service support begins. Managed service schedule agreed.

5-System Integration Test AI Report Validation ITIL 4 Process Walkthrough ISO 27001 Control Verify Code Transfer Asset Register Handover Managed Service Begins 90-Day Support Active UNUS Govern Set-Up (14-day trial)

The Complete Picture

Full Platform
Tier 03 โ€” Enterprise
Enterprise Platform
ยฃ32,347 + ยฃ1,500/month
  • All 5 systems, fully integrated
  • AI-generated regulatory reports
  • ITIL 4 Service Desk
  • ISO/IEC 27001:2022 aligned
  • ISO/IEC 19770-1 asset register
  • Dedicated compliance architect
  • Quarterly architecture review
  • Regulatory change monitoring
  • Priority SLA (4-hour P1)
  • 90-day post-deploy support

What Happens After
Your System Is Live

The deployment delivers a working compliance system. UNUS Govern is what keeps it working โ€” the continuous operational wrapper that turns a one-time build into a continuously-evidenced system you can present to any regulator, any time, on demand.

Day 14
Source Code Transferred
You receive the full PostgreSQL schema, n8n workflow JSON, HTML frontend, build guide, and all documentation. You can run the system yourself on day one, or hand it to UNUS Govern for managed operation.
Day 15โ€“30
30-Day Post-Handover Support
UNUS provides 30 days of post-deployment support included with the Basic tier. Bug fixes, configuration adjustments, and operational questions are answered within 24 business hours. UNUS Govern's free 14-day trial begins on Day 14 so you can evaluate the operational wrapper without commitment.
Day 30+
UNUS Govern Activates as Operational Wrapper
At any point post go-live โ€” and especially before your first regulator visit or surveillance audit โ€” you activate UNUS Govern. Asset Monitor continuously checks the system for drift, expiry, and configuration changes. Governance Engine runs scheduled readiness sweeps and generates the evidence pack the regulator expects to see. The system you bought stays in the same state you deployed it in.

UNUS Govern keeps the system you bought,
in the state you deployed it in.

Compliance systems drift. Workflows change. Schema migrations get applied ad-hoc. The audit trail you carefully built on Day 14 is not the audit trail you have on Day 400 โ€” unless something is watching. UNUS Govern watches. It produces a continuous readiness score, surfaces drift within hours (not months), and generates the evidence pack your regulator expects before they ask for it.

See How Govern Works โ†’ Start 14-Day Trial โ†’
Asset Monitor ยฃ149/mo
Governance Engine ยฃ299/mo
Full Stack ยฃ449/mo

All tiers include 1 industry add-on.
Cancel anytime โ€” your data exports clean.

The complete compliance platform.
Owned by you. Managed by us.

A 60-minute Enterprise discovery call covers your full regulatory obligations across all five systems, the ITIL 4 implementation, managed service scope, and exactly what gets built and transferred to you. No ambiguity. No lock-in. A genuine technical conversation.