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Workiva Connected Reporting from Workiva
Facilitates seamless regulatory reporting with built-in collaboration features, real-time data inputs, and template libraries for various regulatory formats.
Product analysis by function
Regulatory Reporting Tools for Risk & Compliance
Software that automates the preparation and submission of required regulatory reports such as Form PF, Form ADV, AIFMD reporting, and transaction reporting under various regulatory regimes.
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Data Integration
(9 Yes /9 Known /10 Possible features)
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Multi-Source Data Import Capability to ingest data from various formats, protocols, and platforms (e.g., databases, APIs, flat files, custodians). |
Workiva supports ingestion from multiple data sources, including APIs, flat files, and databases as shown in product documentation and integration partner pages. | |
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Real-Time Data Sync Synchronization of data feeds at or near real-time for up-to-date reporting. |
Workiva advertises real-time data sync and live connections, confirmed in product overview and case studies. | |
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Data Validation Rules Built-in checks and logic to ensure data quality and flag inconsistencies. |
The product describes built-in data validation, error checking, and consistency logic in reports and workflows. | |
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Data Enrichment Capabilities Ability to supplement imported data with reference, market, or external datasets. |
Provides enrichment via integrations and third-party data feeds (product integrations section and API documentation). | |
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Automated Data Mapping Tools to facilitate mapping of disparate data sources to unified reporting structures. |
Workiva offers automated data mapping from external sources to unified templates, as stated in onboarding documentation. | |
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Data Cleansing Functionality Automated routines to correct errors and fill missing values in data sets. |
Data cleansing, error correction, and transformation capabilities are mentioned in product workflow features. | |
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Support for Unstructured Data Ability to process documents, emails, or other non-tabular data sources. |
Ability to ingest/process emails, documents, and unstructured files is reflected in Workiva’s support for various document types. | |
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Batch Data Processing Speed Time taken to process and transform datasets for reporting. |
No information available | |
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Data Lineage Tracking Ability to trace data origins and transformation history for audit purposes. |
Data lineage (provenance and transformation tracing) referenced in audit and compliance trail descriptions. | |
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Manual Data Entry Support Functionality for entering data manually in the absence of automated feed. |
Manual data entry is supported where automated feeds are unavailable, as demonstrated in product walkthroughs. |
Regulatory Coverage
(6 Yes /6 Known /6 Possible features)
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Multi-Jurisdiction Support Ability to handle regulatory rules for multiple countries and regions. |
Multi-jurisdictional regulatory coverage is a major selling point of Workiva, as stated on the regulatory product page. | |
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Regulation Specific Modules Pre-built modules/templates for major regulatory standards (e.g., AIFMD, UCITS, MiFID II, FATCA, EMIR, SEC, CFTC). |
Pre-built compliance modules for AIFMD, UCITS, MiFID II, etc. are highlighted in solution overviews. | |
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Automated Rule Updates System updates regulatory rules automatically as new laws come into effect. |
Automatic regulatory rule updates are cited as a competitive differentiator and mentioned in product documentation. | |
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Custom Rule Creation Admins can define custom compliance rules tailored to organizational policies. |
Custom rule and policy creation is supported through admin/user configuration toolkits. | |
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Version Control on Regulation Logic Maintains historical versions of rule logic to support retrospective reporting. |
Version control over rules and reporting logic is mentioned in workflow and audit features. | |
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Audit Trail on Rule Changes Logs and tracks all changes made to compliance and reporting rules. |
Audit trails and logs of rule changes are specifically described on the compliance and audit product pages. |
Reporting & Filing Capabilities
(9 Yes /9 Known /9 Possible features)
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Automated Report Generation Scheduled creation of required regulatory filings. |
Automated generation and scheduling of required regulatory filings is a cornerstone feature. | |
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Custom Report Designer Allows creation of bespoke reports in addition to standard templates. |
Custom report creation and design is supported; referenced under report designer/editor functionality. | |
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Multi-Format Export Export reports in all required electronic and paper formats (XBRL, XML, CSV, PDF, Excel, etc.). |
Exports to XBRL, XML, CSV, PDF, Excel, etc. are explicitly listed in export options. | |
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Error and Exception Highlighting Automatically identifies and flags potential errors or omissions in draft reports. |
The interface highlights errors, inconsistencies, and exceptions in filings before submission. | |
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Direct e-Filing Integration Connects directly to regulators’ portals/APIs for automated submission. |
Direct e-filing is supported for many regulators (e.g., SEC, ESEF), verified in product integration materials. | |
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Filing Status Tracking Monitors the progress, success, or failure of each report submission. |
Filing status tracking and dashboard features described in reporting workflow documentation. | |
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Ad Hoc Reporting Enables rapid, one-off report production for non-routine compliance queries. |
Ad hoc reporting is supported via a flexible report designer and data querying options. | |
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Historical Filing Storage Stores previously submitted reports for comparison and retrieval. |
Historical filings are stored, retrievable, and comparable within the platform. | |
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Reporting Frequency Options Supports daily, monthly, quarterly, annual or ad-hoc schedules. |
Supports a variety of reporting frequencies from daily to ad hoc, as per documentation. |
Workflow & Process Automation
(7 Yes /7 Known /8 Possible features)
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Role-Based Task Assignment Allocates tasks to individuals or teams based on permissions and expertise. |
Workiva provides task assignment based on user roles and permissions. | |
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Automated Alerts & Reminders Sends notifications for deadlines, approvals, and exception handling. |
Automated reminders and deadline notifications are included in the workflow engine. | |
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Approval Workflow Customization Configurable multi-level review and sign-off processes. |
Approval workflows are configurable and can be tailored to organizational needs. | |
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Escalation Management Automatically escalates overdue tasks or exceptions to management. |
Supports escalation of overdue tasks through workflow automation. | |
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Task Status Dashboard Visualizes progress of all workflow tasks in real-time. |
Dashboard provides up-to-date tracking of reporting tasks and workflow progress. | |
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SLA Monitoring Monitors workflow steps against Service Level Agreements. |
No information available | |
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Automated Scheduling Allows pre-scheduling of recurring tasks and report runs. |
Features include automated scheduling of report generation and recurring tasks. | |
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Exception Handling Rules Predefined responses to common exceptions or workflow bottlenecks. |
Exception handling logic is implemented as part of workflow definition toolkits. |
User Access & Security
(6 Yes /6 Known /7 Possible features)
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Role-Based Access Control (RBAC) Access permissions can be defined per user or group. |
RBAC is a well-documented security feature—access is role and group based. | |
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Multi-Factor Authentication (MFA) Supports two/multi-factor authentication for user login. |
Multi-factor authentication supported via SSO and direct logins, per security technical whitepaper. | |
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Single Sign-On (SSO) Integration Allows users to log in with corporate credentials. |
Single sign-on via SAML and other standards supported; referenced among enterprise features. | |
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Audit Logging Tracks all user actions for monitoring and compliance. |
Comprehensive audit logging for compliance and monitoring available, per product compliance documentation. | |
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Encryption at Rest and in Transit Data is encrypted both when stored and when sent between systems. |
Encryption in transit and at rest is confirmed in Workiva’s security and compliance documentation. | |
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Granular Data Permissions Fine-grained control over which data a user can view or edit. |
Granular permissions (field, dataset, user/group) can be configured, according to documentation. | |
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Time-Based Access Control Ability to restrict system access to specific hours or dates. |
No information available |
Audit & Transparency
(4 Yes /4 Known /6 Possible features)
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Full Data Audit Trails Tracks every change to relevant data, reports, and workflows. |
Audit trails are provided for all data, report, and workflow changes as described in Workiva’s documentation. | |
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Audit Log Export Ability to export audit logs for regulator or auditor review. |
Audit logs can be exported for regulatory review, as mentioned in product compliance pages. | |
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Immutable Records Stores all changes in a tamper-evident manner. |
Immutable storage/logs described as part of the system’s compliance and audit write-ups. | |
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Report Reconciliation Logs Logs comparisons between system data and filed reports. |
No information available | |
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User Action History View actions performed by each user on specific records or reports. |
User action history is part of the audit trail and can be queried for specific tasks/entities. | |
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Change Reason Capture Requires users to provide rationale for material changes. |
No information available |
Analytics & Monitoring
(4 Yes /4 Known /6 Possible features)
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Exception Trend Analysis Tracks patterns in reporting errors or regulatory breaches over time. |
No information available | |
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Compliance Dashboard Visual interface summarizing key compliance risks and activities. |
Compliance dashboard is a highlighted front-end feature, displaying key compliance risks and metrics. | |
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Data Quality Metrics Monitors consistency, completeness, and accuracy of reporting data. |
Data quality and completeness metrics are built into the platform's monitoring features. | |
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Historical Comparison Reports Allows period-to-period comparison to identify discrepancies or risks. |
The system matches/report compares various periods to identify anomalies and risks. | |
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Outlier Detection Automatically flags results that deviate from norms. |
No information available | |
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Workflow Efficiency Metrics Measures task throughput and identifies bottlenecks. |
Workflow efficiency and bottleneck tracking are available in dashboard and analytics features. |
Configurability & Customization
(4 Yes /4 Known /5 Possible features)
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Custom Workflow Builder Design and deploy custom task and approval steps. |
Users can design and deploy workflow steps and custom approval flows. | |
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Configurable Data Fields Add, remove, or modify data fields for changing needs. |
Forms, templates, and data fields are configurable to organization requirements. | |
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White-Labelling Options Apply custom branding to user interfaces and reports. |
No information available | |
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User Interface Personalization Enables individual users to customize their dashboards. |
Each user can personalize dashboard/views to their workflow needs. | |
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Rule Engine for Custom Logic Allows non-technical users to define new rules and triggers. |
Admins and some users can define custom workflow logic and rules without code. |
Integration & API Capabilities
(3 Yes /3 Known /5 Possible features)
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Open REST/SOAP APIs Enables external systems to connect and automate data exchanges. |
Workiva exposes a range of REST APIs for integration with external systems. | |
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Pre-Built Integrations Available plugins for common fund management and accounting platforms. |
Pre-built integrations for platforms such as Oracle, SAP, and others are listed on Workiva’s integrations marketplace. | |
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Webhook/Event Notification Support Outbound triggers for events like report completion or data changes. |
No information available | |
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API Call Throughput Maximum number of API requests supported per second. |
No information available | |
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Bulk Data Upload & Download Ability to move large data sets efficiently. |
Bulk data import/export is supported for onboarding, migration, and high-volume reporting as shown in API docs. |
Scalability & Performance
(1 Yes /1 Known /4 Possible features)
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Horizontal/Vertical Scaling System can scale out by adding resources or nodes. |
Cloud-native architecture provides horizontal and vertical scaling as platform usage grows. | |
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Concurrent User Limit Maximum number of users able to use the system simultaneously. |
No information available | |
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High Availability/Uptime SLA Service level guarantee for system availability. |
No information available | |
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Peak Load Processing Speed Performance under heavy data or usage peaks. |
No information available |
Support & Documentation
(6 Yes /6 Known /6 Possible features)
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24/7 Technical Support Around-the-clock assistance for critical issues. |
24/7 support is referenced in their technical/customer support documentation. | |
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Comprehensive User Documentation Detailed manuals and online help resources. |
Comprehensive user documentation, guides, and online help center are available. | |
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Integration Support Services Assistance for connecting the product with other systems. |
Integration support is a standard part of onboarding/implementation services. | |
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Dedicated Account Manager A single point of contact for complex support needs. |
Dedicated account management is available as part of premium support as noted in service packages. | |
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Onboarding & Training Packages Structured user education for rollout and adoption. |
Onboarding and product training packages are described for new customers. | |
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Compliance Alert Service Proactive notifications of regulatory changes impacting reporting. |
Provides regulatory alerts and change notifications targeting relevant reporting requirements. |
Regulatory Compliance Tools for Fund Management
Solutions for managing SEC filings, KYC/AML requirements, GDPR compliance, and other regulatory obligations specific to investment firms.
More Regulatory Compliance Tools
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Regulatory Reporting
(8 Yes /8 Known /12 Possible features)
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Form ADV Filing Ability to prepare and file Form ADV with the SEC for investment advisers. |
Workiva specifically highlights automated SEC reporting, including Form ADV, on its regulatory reporting solutions page. | |
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Form PF Support Capability to complete and submit Form PF for private fund advisers. |
Workiva lists Form PF support among standard filing use-cases for investment advisers. | |
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Form D Filing Support for filing Form D notices for exempt offerings. |
SEC Form D is explicitly mentioned as one of Workiva's supported forms for fund and exempt offerings. | |
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Blue Sky Filing Functionality to handle state-level securities filings. |
Workiva advertises Blue Sky compliance features in its regulatory documentation and marketing materials. | |
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AIFMD Reporting Support for Alternative Investment Fund Managers Directive reporting for EU compliance. |
Workiva's platform is marketed for global regulatory compliance, with reference to AIFMD for EU reporting. | |
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Regulatory Filing Frequency Number of regulatory filing types supported by the system. |
No information available | |
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Cross-Border Reporting Ability to handle reporting requirements across multiple jurisdictions. |
Cross-border reporting is a highlighted capability, with support for multiple jurisdictions/global compliance. | |
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Report Template Library Availability of pre-built templates for common regulatory reports. |
No information available | |
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Automatic Deadline Tracking System monitors and alerts users to upcoming regulatory filing deadlines. |
Automatic alerting and deadline tracking are promoted features within Workiva's regulatory suite. | |
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Historical Filing Repository Storage capacity for past regulatory filings for reference and audit purposes. |
No information available | |
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Filing Error Validation Pre-submission checks to identify potential errors in regulatory filings. |
Pre-submission error validation is a major feature in Workiva’s workflow. | |
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Regulatory Update Frequency How often the system updates to reflect regulatory changes. |
No information available |
Investor Due Diligence
(0 Yes /0 Known /12 Possible features)
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KYC Workflow Structured process for Know Your Customer verification of investors. |
. | No information available |
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AML Screening Anti-Money Laundering checks against watchlists and sanctions databases. |
. | No information available |
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Accredited Investor Verification Tools to verify and document investor accreditation status. |
. | No information available |
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Investor Risk Scoring System for assigning risk levels to investors based on due diligence findings. |
. | No information available |
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Beneficial Ownership Tracking Ability to identify and document ultimate beneficial owners of entity investors. |
. | No information available |
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FATCA/CRS Compliance Support for Foreign Account Tax Compliance Act and Common Reporting Standard requirements. |
. | No information available |
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Digital ID Verification Electronic verification of identity documents and information. |
. | No information available |
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Document Collection Portal Secure interface for investors to submit required documentation. |
. | No information available |
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Verification Processing Time Average time to complete verification processes for new investors. |
. | No information available |
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Periodic Re-verification Automated process to prompt and track ongoing investor re-verification requirements. |
. | No information available |
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Watchlist Database Coverage Number of sanctions and PEP lists covered in screening processes. |
. | No information available |
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Enhanced Due Diligence Workflow Specialized process for high-risk investors requiring additional scrutiny. |
. | No information available |
Compliance Management
(0 Yes /0 Known /13 Possible features)
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Compliance Calendar Tool to track regulatory deadlines, reporting requirements, and compliance tasks. |
. | No information available |
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Policy Management Repository for compliance policies with version control and distribution features. |
. | No information available |
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Code of Ethics Management System to track and manage employee code of ethics compliance, including personal trading. |
. | No information available |
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Regulatory Exam Support Tools to prepare for and respond to regulatory examinations. |
. | No information available |
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Compliance Testing Framework for conducting periodic tests of compliance controls. |
. | No information available |
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Risk Assessment Tools Features to identify, assess, and document compliance risks. |
. | No information available |
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Conflicts of Interest Management System to identify, document, and manage potential conflicts of interest. |
. | No information available |
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Expert Network Tracking Tools to monitor and document expert network consultations for insider trading prevention. |
. | No information available |
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Political Contribution Tracking System to monitor and approve employee political contributions for pay-to-play compliance. |
. | No information available |
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Regulatory Alert System Notification system for relevant regulatory changes and updates. |
. | No information available |
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Compliance Training Management Platform for delivering and tracking completion of compliance training. |
. | No information available |
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Policy Attestation Rate Percentage of staff who have completed required policy attestations on time. |
. | No information available |
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Regulatory Update Coverage Number of regulatory jurisdictions monitored for compliance updates. |
. | No information available |
Fund Documentation
(0 Yes /0 Known /13 Possible features)
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Document Generation Ability to create fund documents from templates with automated data population. |
. | No information available |
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Subscription Document Processing System for distributing, collecting, and processing investor subscription agreements. |
. | No information available |
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Electronic Signature Integration Support for digital signature collection on fund documents. |
. | No information available |
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Side Letter Management Tools to track and manage individual investor side letter terms and obligations. |
. | No information available |
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Document Version Control System to maintain document versions and track changes over time. |
. | No information available |
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Investor Portal Secure platform for investors to access fund documents and information. |
. | No information available |
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Distribution Waterfall Documentation Tools to document and explain distribution calculations and waterfalls. |
. | No information available |
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Limited Partner Advisory Committee (LPAC) Management Features for organizing LPAC meetings, voting, and documentation. |
. | No information available |
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Fund Marketing Material Review Workflow for compliance review and approval of marketing materials. |
. | No information available |
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Document Storage Capacity Amount of document storage provided by the system. |
. | No information available |
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Document Template Library Size Number of pre-built templates available for fund documentation. |
. | No information available |
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Multi-language Support Number of languages supported for document generation. |
. | No information available |
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Document Processing Time Average time to process subscription documents from receipt to acceptance. |
. | No information available |
Investment Compliance
(0 Yes /0 Known /12 Possible features)
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Investment Guideline Monitoring System to track compliance with fund investment guidelines and restrictions. |
. | No information available |
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Pre-trade Compliance Checks Ability to screen potential investments for compliance issues before execution. |
. | No information available |
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Post-trade Compliance Analysis Tools to monitor portfolio compliance after trades are executed. |
. | No information available |
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Concentration Limit Monitoring Tracking of investment concentration against defined thresholds. |
. | No information available |
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Prohibited Transaction Screening Checks to prevent investments in restricted companies or industries. |
. | No information available |
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ESG Screening Tools to assess investments against environmental, social, and governance criteria. |
. | No information available |
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LP Investment Restriction Tracking System to monitor compliance with investor-specific investment restrictions. |
. | No information available |
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Regulatory Investment Limits Monitoring of compliance with regulatory investment thresholds and reporting requirements. |
. | No information available |
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Cross-Fund Investment Tracking Tools to manage compliance for investments across multiple related funds. |
. | No information available |
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Rule Processing Speed Time taken to evaluate an investment against all applicable compliance rules. |
. | No information available |
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Compliance Rule Library Number of pre-built compliance rules available in the system. |
. | No information available |
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Custom Rule Creation Ability to create custom compliance rules specific to fund requirements. |
. | No information available |
Data Management & Security
(0 Yes /0 Known /14 Possible features)
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Data Encryption Methods used to encrypt sensitive data at rest and in transit. |
. | No information available |
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Access Control Management System for defining and enforcing user access privileges to sensitive information. |
. | No information available |
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Data Retention Policies Tools to implement and enforce data retention and destruction schedules. |
. | No information available |
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GDPR Compliance Features supporting compliance with General Data Protection Regulation requirements. |
. | No information available |
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CCPA Compliance Features supporting compliance with California Consumer Privacy Act requirements. |
. | No information available |
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Audit Trail Logging Comprehensive tracking of user activities and system changes. |
. | No information available |
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Data Breach Response Protocols and tools for responding to potential data security incidents. |
. | No information available |
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Information Barriers Systems to create and enforce ethical walls between different investment teams. |
. | No information available |
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Two-Factor Authentication Enhanced security requiring two methods of identity verification. |
. | No information available |
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Data Classification System Framework for categorizing data based on sensitivity and regulatory requirements. |
. | No information available |
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Security Certification Level Industry security certifications achieved (e.g., SOC 2, ISO 27001). |
. | No information available |
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Backup Frequency How often system data is backed up for disaster recovery purposes. |
. | No information available |
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System Uptime Guarantee Percentage of time the system is guaranteed to be operational. |
. | No information available |
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Security Testing Frequency How often security penetration tests are conducted on the system. |
. | No information available |
Financial Reporting & Tax Compliance
(0 Yes /0 Known /13 Possible features)
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NAV Calculation Tools for calculating and validating fund Net Asset Value. |
. | No information available |
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Capital Account Statements Generation of investor capital account statements. |
. | No information available |
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Schedule K-1 Preparation Support for preparing and distributing Schedule K-1 tax documents to investors. |
. | No information available |
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FATCA/CRS Reporting Tools for tax information reporting under FATCA and Common Reporting Standard. |
. | No information available |
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Investor Tax Document Portal Secure platform for investors to access tax documents. |
. | No information available |
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Carried Interest Calculations System for calculating and tracking carried interest allocations. |
. | No information available |
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Management Fee Compliance Tools to ensure management fee calculations comply with fund documents. |
. | No information available |
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GAAP/IFRS Compliance Support for preparing financial statements in accordance with accounting standards. |
. | No information available |
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Expense Allocation Tracking System for allocating expenses across funds and tracking against budgets. |
. | No information available |
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Audit Support Package Tools to generate required documentation for annual financial audits. |
. | No information available |
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Waterfall Calculation Complexity Level of complexity supported in distribution waterfall calculations. |
. | No information available |
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Financial Statement Generation Time Time required to generate comprehensive financial statements. |
. | No information available |
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Tax Jurisdiction Coverage Number of tax jurisdictions supported for reporting purposes. |
. | No information available |
Integration Capabilities
(0 Yes /0 Known /13 Possible features)
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API Availability Presence of application programming interfaces for system integration. |
. | No information available |
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Fund Administrator Integration Pre-built connections to common fund administration platforms. |
. | No information available |
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Banking System Integration Ability to connect with banking platforms for capital movements. |
. | No information available |
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CRM System Integration Connectivity with customer relationship management systems. |
. | No information available |
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Portfolio Management System Integration Links to investment portfolio tracking and management systems. |
. | No information available |
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Document Management System Integration Connections to enterprise document management systems. |
. | No information available |
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Email System Integration Ability to connect with email platforms for notifications and communications. |
. | No information available |
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Data Warehouse Integration Capability to feed data to enterprise data warehouses or analytics platforms. |
. | No information available |
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Electronic Signature Platform Integration Connections to digital signature services. |
. | No information available |
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Regulatory Database Integration Links to regulatory information sources and filing systems. |
. | No information available |
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Number of Pre-built Integrations Total number of ready-to-use integrations available. |
. | No information available |
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API Response Time Average response time for API calls. |
. | No information available |
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Data Synchronization Frequency How often data is synchronized between integrated systems. |
. | No information available |
Usability & Implementation
(0 Yes /0 Known /13 Possible features)
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Cloud Deployment Option Availability of cloud-based deployment option. |
. | No information available |
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On-Premises Deployment Option Availability of on-site deployment option. |
. | No information available |
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Mobile Accessibility Ability to access and use the system via mobile devices. |
. | No information available |
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User Role Customization Ability to define custom user roles with specific permissions. |
. | No information available |
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Workflow Customization Capability to create custom approval and review processes. |
. | No information available |
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Multi-Fund Support Ability to manage multiple funds within a single instance. |
. | No information available |
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White Labeling Options Capability to customize the system appearance with firm branding. |
. | No information available |
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Training Resources Availability of user training materials and programs. |
. | No information available |
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Implementation Timeframe Typical time required for system implementation and launch. |
. | No information available |
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Support Response Time Average time for customer support to respond to issues. |
. | No information available |
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User Interface Customization Degree to which user interfaces can be customized for specific needs. |
. | No information available |
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Concurrent User Capacity Maximum number of users who can use the system simultaneously. |
. | No information available |
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Reporting Customization Ability to create and modify custom reports. |
. | No information available |
Analytics & Risk Management
(0 Yes /0 Known /13 Possible features)
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Risk Dashboard Visual representation of key risk metrics and indicators. |
. | No information available |
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Compliance Violation Alerts Real-time notification system for compliance breaches. |
. | No information available |
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Historical Trend Analysis Tools to analyze compliance data over time to identify patterns. |
. | No information available |
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Regulatory Exam Analytics Analysis of past regulatory examination findings and outcomes. |
. | No information available |
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Peer Benchmarking Comparison of compliance program effectiveness against industry peers. |
. | No information available |
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Investor Risk Analytics Analysis of investor-related compliance risks and concerns. |
. | No information available |
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Portfolio Compliance Analytics Analysis of investment compliance patterns and trends. |
. | No information available |
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Vendor Risk Management Tools to assess and monitor compliance risks from service providers. |
. | No information available |
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Operational Risk Monitoring Tracking of operational process compliance and failures. |
. | No information available |
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Personal Trading Analytics Analysis of employee trading patterns for potential conflicts. |
. | No information available |
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Report Generation Speed Time required to generate complex analytical reports. |
. | No information available |
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Data Visualization Options Number of different visualization types available for analytics. |
. | No information available |
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Maximum Data History Length of historical data maintained for trend analysis. |
. | No information available |
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