The Intermediate tier connects up to three compliance systems into a single, integrated governance ecosystem. Each system cross-references the others. Every event feeds a live compliance dashboard. Automated weekly reports. MLRO and COLP approval gates built in.
Basic solves one problem in isolation. Intermediate connects your compliance systems so they produce evidence together, alert you when intervention is required, and report on your regulatory position automatically.
The Intermediate tier enforces compliance at three distinct layers. Each layer cannot be circumvented without a trace in the layer below it.
The Intermediate tier deploys three mini solutions that are designed to cross-reference each other. Shown here for a Legal & Professional Services firm — the same integration pattern applies across all four industries.
Every supervision event for every fee earner — recorded, timestamped, and retrievable under 30 seconds. The foundation of SRA regulatory evidence.
A 19-step compliance checklist (12 opening, 7 closure) with three-layer enforcement. No matter can be opened or closed without completing the mandatory compliance steps. High-risk matters trigger the MLRO alert gate automatically.
A 23-node n8n workflow that queries both System 1 and System 2, aggregates the data, generates a structured regulatory readiness report, and emails it to the principal solicitor every week. Three entry points — scheduled, on-demand, and sign-off triggered.
The cross-system compliance dashboard is a live PostgreSQL view that aggregates data from all three deployed systems into a single, queryable result. It is not a separate application — it runs on the same database you already own.
What the dashboard shows: The regulatory readiness score across all four dimensions, blocking compliance items that prevent matter progression, AML risk matters awaiting MLRO review, and supervision coverage percentage for the current period.
The alert engine is not a notification layer bolted on top of the system. It is a database trigger that fires synchronously when a high-risk condition is met. The matter is blocked in the database itself — not in the frontend, not in the workflow — until the required approval is recorded.
This is the difference between a system that asks you to remember to involve the MLRO and one that structurally prevents progression until the MLRO has reviewed the matter.
The Intermediate tier includes a 23-node n8n workflow that runs three entry points for report generation. Every report queries the live database, scores the four compliance dimensions, and is archived in the sra_report_history table.
The Intermediate tier is calibrated to achieve a minimum 95 out of 100 across four independently scored compliance dimensions. The score is not an estimate — it is calculated directly from live database records each time the view is queried.
Each dimension maps to a specific regulatory obligation. A score below 80 on any dimension triggers a flag in the weekly report. A score below 70 triggers an immediate alert to the COLP.
The target range for production systems is 94–98/100. A score of 100 on all dimensions is achievable but would indicate no matters are open — which is unlikely in a working firm.
See a Live Score Demo ↗The Intermediate timeline adds integration and cross-system testing phases to the Basic deployment. New phases are marked below.
Three-system discovery call. We map the cross-system integration requirements — which tables reference which, how the firm_id UUID links everything, and where the MLRO/COLP gates need to fire. Schema design for all three systems is approved before build begins.
All three schemas are constructed simultaneously, with shared tables, cross-system foreign keys, and the integration layer built from the start. Stored procedures (sp_create_matter, sp_complete_checklist_item, sp_trigger_closure_checklist) are written and tested. The immutable audit trail covers all three systems.
The three n8n workflows are built and connected. The MLRO alert trigger and COLP approval gate workflows are wired to the database triggers. The 23-node readiness report workflow is built. The HTML frontend is constructed covering all three systems.
End-to-end integration testing: a high-risk AML matter is created, triggers the MLRO alert, is blocked, reviewed, cleared, and the state is verified across all three systems simultaneously. Full source code transferred. 60-day support period begins.
The deployment delivers a working compliance system. UNUS Govern is what keeps it working — 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.
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 — 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.
All tiers include 1 industry add-on.
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A 60-minute discovery call covers your firm's specific regulatory obligations, which three systems solve your most critical governance gaps, and exactly what will be integrated and transferred to you. Honest recommendation — no sales pitch.