Supervision & Escalation
Automates the review → flag → escalate → document sequence defined in your supervisory procedures. Routes issues to the right principal or supervisor and enforces required supervision steps with a clear evidence trail.
Why This Matters
Supervision breaks down when activity comes in from everywhere — email, CRM, trades, notes, alerts — and supervisors are expected to keep all of it in their head. That's when firms get:
Supervision doesn't fail because people don't care. It fails because the workflow isn't explicit, enforced, or trackable.
What This Agent Automates
- Detects items requiring supervisory review
- Flags missing documentation or inconsistent rationale
- Routes issues to the correct principal based on procedures
- Tracks required follow-ups and completion
- Generates audit-ready evidence for each review event
What It Eliminates
- Manual triaging of review queues
- Email threads asking "Who owns this?"
- Lost or delayed follow-ups
- Inconsistent review decisions across supervisors
How It Works
Ingest
Emails, call summaries, CRM notes, review queues—all analyzed against your supervisory procedures.
Analyze
Checks documentation completeness, rationale consistency, escalation triggers, and missing steps.
Act
Routes to the correct principal, tracks follow-ups, updates status, and builds evidence automatically.
Example Outputs
Missing documentation detected: No rationale recorded for trade.
Suggested follow-up: "Confirm investment objective and record rationale."
Escalation triggered: Communication requires principal review.
Routed to: Principal Queue B.
Review complete: All required supervision steps satisfied.
Evidence attached automatically.
Who This Helps
Advisors & Reps
Less back-and-forth. Fewer missing steps. Clear expectations.
Supervisory Principals
Clean queues, consistent routing, reliable context for decisions.
Ops Teams
No more chasing for updates, escalations, or missing items.
Compliance
Audit-ready evidence without manual assembly.
Ready to Deploy?
Your advisors focus on clients.
PitCrew handles the rest.