Revolutionizing Compliance Tracking in Financial Organizations with AI-Powered No-Code Platforms

Compliance management is a paramount concern for financial organizations. Regulatory requirements are constantly evolving, and non-compliance can lead to severe consequences. To address this challenge effectively, financial institutions are turning to innovative solutions, and one such groundbreaking approach is the use of AI-powered no-code platforms to build compliance tracking apps. These apps streamline compliance activities by providing real-time alerts, reminders, and comprehensive documentation. 

In this article, we explore how AI-powered no-code platforms are transforming compliance tracking in financial organizations. We cover key features and provide a step-by-step guide to building compliance tracking an app, along with a sample data model and entity relationship diagram (ERD) to illustrate its functionality.

What the App Does:

This compliance tracking app is designed to help financial organizations effectively manage and monitor their compliance requirements, regulatory changes, and internal policies. It achieves this through the following key features:

  • Regulatory Compliance Monitoring: The app allows users to input and track various regulations relevant to their organization. These regulations are stored in the “Regulations” entity, along with essential details such as names, descriptions, regulatory bodies, and deadlines.
  • Task Assignment and Tracking: Compliance officers can create and assign compliance tasks related to specific regulations. These tasks are stored in the “Compliance Tasks” entity, which includes information such as task names, due dates, and assigned personnel. Users can update the status of tasks (e.g., In Progress, Completed) as they work on them.
  • Real-time Alerts and Reminders: The app incorporates AI algorithms to monitor regulatory updates and deadlines in real-time. Users receive automated alerts and reminders to ensure that critical compliance tasks are not missed.
  • Document Management: To maintain comprehensive documentation, the app provides a feature for uploading and storing compliance-related documents. These documents are associated with specific tasks and regulations, helping organizations keep a structured record of their compliance efforts.

Who It’s For:

This compliance tracking app is designed for financial organizations of all sizes, including banks, credit unions, insurance companies, and investment firms. It serves a wide range of stakeholders within these organizations, including:

  • Compliance Officers: These professionals are responsible for ensuring that the organization adheres to all relevant regulations. The app assists compliance officers in tracking regulatory changes, assigning tasks, and maintaining documentation.
  • Business Analysts: Business analysts can use the app to analyze compliance data, identify trends, and make informed recommendations to improve compliance processes.
  • Executives and Managers: Senior leaders can access reports and dashboards generated by the app to gain insights into the organization’s compliance status and make strategic decisions.


The compliance tracking app built on an AI-powered no-code platform offers several significant benefits to financial organizations:

  • Efficiency: It streamlines compliance activities, reducing the time and effort required to manage regulatory requirements.
  • Accuracy: Real-time alerts and reminders help organizations stay up-to-date with the latest regulations, reducing the risk of non-compliance.
  • Documentation: The app automates documentation, making it easier to generate audit trails and reports for regulatory authorities.
  • Agility: Financial organizations can adapt quickly to regulatory changes and respond promptly to compliance issues.
  • Accessibility: It empowers non-technical staff to actively participate in compliance management.

How to Build the App

Building a compliance tracking app using an AI-powered no-code app builder can be a streamlined and efficient process. Here are the detailed steps you should take to create your web-based compliance tracking app:

Step 1: Define Your Requirements

Before you start building your app, you need to have a clear understanding of what your compliance tracking app should do. What to consider:

  • Regulatory Requirements: Clearly define the specific compliance regulations and requirements you want to track within your app. Understand the nuances of each regulation and how they impact your organization.
  • Feature List: Make a comprehensive list of features your compliance tracking app should have, such as task management, document storage, real-time alerts, reporting, and user management.
  • User Roles: Identify the different user roles within your organization that will use the app (e.g., compliance officers, managers, auditors) and determine their specific needs.

Step 2: Select the No-Code App Builder

There are several no-code app builder platforms available. You’ll need to choose one that aligns with your requirements. Some popular options include Bubble, Adalo, OutSystems, and Appy Pie. 

  • Research and Compare: Explore different no-code app builder platforms and compare their features, pricing, and scalability. Consider ease of use, available templates, and community support.
  • Web App Support: Ensure that the chosen platform fully supports web application development, as some no-code platforms may be more focused on mobile apps.
  • AI-Powered Features: If you plan to leverage AI capabilities, verify that the platform offers AI integration options or pre-built AI components.

Step 3: Design Your App

Design an intuitive and user-friendly user interface (UI) and excellent user experience (UX) of your compliance tracking app.

  • User Interface (UI): Use drag-and-drop tools to create layouts, buttons, forms, and navigation menus.
  • Wireframes: Create wireframes or mockups of your app’s screens to visualize the layout and flow before building them.
  • Branding: Customize the app’s colors, logos, and branding elements to align with your organization’s identity.
  • Dashboard: Create a central dashboard where users can access key compliance information and reports.
  • Navigation: Design a menu or navigation system that allows users to access different sections of the app easily.
  • Forms: Build forms for data entry and task assignment.
  • Alerts and Notifications: Set up mechanisms for sending alerts and notifications to users.

Step 4: Define Data Models

In your chosen no-code platform, define the data models that will structure your app’s data. What to consider:

  • Entity Definition: Using the no-code platform’s data modeling features, define entities (database tables) for key components like regulations, tasks, documents, and users.
  • Attributes: Specify the attributes (columns) for each entity, including data types, relationships (foreign keys), and any validation rules.
  • Data Relationships: Define relationships between entities, such as associating tasks with specific regulations or linking documents to compliance tasks.

Step 5: Build the Backend Logic

Configure the backend logic of your app using the no-code platform’s features. This is where you set up the app’s functionality, such as:

  • Task Assignment: Create workflows for assigning compliance tasks to users.
  • Real-time Alerts: Implement automated alert mechanisms based on deadlines or regulatory changes.
  • Document Management: Configure document upload and storage functionalities.
  • User Authentication: Set up user authentication and access controls to ensure data security.
  • Workflows: Use the no-code platform’s visual workflow builder to define the logic of your app. Create workflows for task assignments, alerts, notifications, and data processing.
  • Automation: Implement automation rules that trigger actions based on specific events or conditions. For example, automate the assignment of tasks when a new regulation is added.
  • Integration: If needed, integrate with external services or APIs to fetch regulatory data or send notifications via email or messaging platforms.

Step 6: Integration (Optional)

Depending on your needs, you may want to integrate your compliance tracking app with external systems or services. What to consider:

  • API Integration: Integrate your app with external systems or databases through APIs. For regulatory compliance, this may involve connecting to regulatory databases or government websites for updates.
  • Data Import/Export: Implement features to import and export data, which can be useful for sharing compliance reports or exchanging information with external auditors.

Step 7: Testing

Thoroughly test your compliance tracking app. What to consider:

  • Functional Testing: Conduct rigorous functional testing to ensure that all features work as expected. Test different scenarios and user roles to identify and resolve any issues.
  • User Acceptance Testing (UAT): Involve end-users or a testing team to perform UAT. Gather feedback and make necessary improvements based on user input.
  • Security Testing: Verify that your app’s data is secure and that user access controls are functioning correctly to protect sensitive compliance data.

Step 8: User Training and Documentation

What to consider:

  • User Guides: Create comprehensive user guides and documentation to help users understand how to navigate the app, perform tasks, and troubleshoot common issues.
  • Training Sessions: Conduct training sessions for users to ensure they are proficient in using the app effectively.

Step 9: Deployment

  • Hosting: Deploy your web-based compliance tracking app on a hosting platform. Many no-code platforms offer built-in deployment options, or you can choose a hosting service that supports your chosen platform. Ensure that the app is accessible via a web browser. Ensure that the platform is reliable and provides adequate scalability.
  • Domain and SSL: If you have a custom domain, configure it to point to your app. Implement SSL for data encryption and security.
  • Backup and Recovery: Implement regular backup and recovery procedures to protect your app’s data.

Step 10: Maintenance and Updates

What to consider:

  • Regular Maintenance: Continuously monitor the app’s performance, security, and data integrity. Address any issues promptly.
  • Software Updates: Stay updated with the no-code platform’s releases and apply relevant updates. Ensure that your app remains compatible with new platform versions.
  • Feedback Loop: Establish a feedback loop with users to gather input for future improvements and feature enhancements.

Step 11: Compliance Monitoring

Once your compliance tracking app is up and running, use it to monitor and manage compliance activities effectively. 

  • Usage Analytics: Use analytics tools to monitor how users are interacting with the app and gather insights into compliance activities.
  • Regulatory Updates: Leverage the real-time alerts and reporting features to stay ahead of regulatory changes and ensure ongoing compliance. Ensure that automated alerts and notifications are keeping users informed.

By following these detailed steps, you can effectively build and maintain a web-based compliance tracking app using an AI-powered no-code app builder. The process allows you to significantly streamline the development process, allowing you to focus on configuring the app’s functionality and user experience without the need for extensive coding. 

Tailor the app to your organization’s specific needs, stay compliant with evolving regulations, and ensure that your team can efficiently manage compliance tasks and documentation. Be sure to stay engaged with your app’s users to gather feedback and make continuous improvements to meet their evolving needs

Entity Relationship Diagram (ERD) 

To better understand the structure and organization of your compliance tracking, it’s best to prepare an entity relationship diagram (ERD).

An ERD is a visual representation of the various entities and their relationships within the compliance tracking app. It illustrates how different components are interconnected, providing a clear view of the app’s data architecture. 

Here is a simplified ERD for the compliance tracking app:

“Regulations” is a central entity storing information about various compliance regulations.

“Compliance Tasks” is linked to “Regulations” as tasks are specific to regulations. It includes information about task assignments, due dates, and task statuses.

“Documents” are associated with “Compliance Tasks” and “Regulations,” allowing comprehensive documentation of compliance efforts.

“Users” represent individuals who interact with the app, and they are related to “Compliance Tasks” to assign tasks and monitor progress.

Sample Data Model:

Now, let’s explore a simplified sample data model for your app, which showcases the attributes for each entity:

Regulations Entity:

  • Regulation ID (Primary Key)
  • Regulation Name
  • Description
  • Regulatory Body
  • Deadline

Compliance Tasks Entity:

  • Task ID (Primary Key)
  • Task Name
  • Due Date
  • Task Status (e.g., In Progress, Completed)
  • Assigned Personnel (linked to “Users” entity)
  • Associated Regulation (linked to “Regulations” entity)

Documents Entity:

  • Document ID (Primary Key)
  • Document Name
  • Document Type
  • Upload Date
  • Associated Task (linked to “Compliance Tasks” entity)
  • Associated Regulation (linked to “Regulations” entity)

Users Entity:

  • User ID (Primary Key)
  • User Name
  • User Role (e.g., Compliance Officer, Business Analyst)
  • Email Address
  • User Profile Information

This sample data model provides an overview of the key entities, their attributes, and relationships within the compliance tracking app. By utilizing this data model and its relationships, financial organizations can effectively track and manage compliance requirements, ensuring that they stay in compliance with the ever-evolving regulatory landscape. 


AI-powered no-code platforms are transforming the way financial organizations approach compliance tracking. These versatile and user-friendly tools not only streamline compliance procedures but also mitigate risks, equipping organizations to fulfill their regulatory commitments more effectively. Furthermore, they empower non-technical personnel to develop advanced applications capable of monitoring regulatory modifications, handling compliance responsibilities, issuing real-time alerts, reminders, and maintaining comprehensive documentation. With the regulatory landscape in constant flux, the adoption of AI-powered no-code platforms has become imperative for financial institutions seeking to enhance their compliance management and risk mitigation strategies.

Planet Crust’s AI-powered no-code app builder, Aire, lets users create custom record-based apps directly from text prompts, including: Budget Management, Expense Tracking, Compliance Tracking, Asset Management, Vendor Management, Risk Management, Audit Management and more. Users can further customize the AI build with easy-to-use no-code tools, access pre-built apps add connectors and deploy the app in their own instance on the Corteza platform. We’ll be launching Aire soon! Join the waiting list to get first access.


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