Advent Automation 2025

Day 17: Rafael - Multi-Jurisdictional Asset Compliance Dashboard

Industry: Wealth Management / Legal Compliance Stakeholder: Rafael (Cross-Border Wealth Planning Attorney) Built with: Streamlit + Plotly Time to deliver: 3 hours

Decision Context (CRITICAL SECTION)

WHO is making a decision?

Rafael, a cross-border wealth planning attorney responsible for audit readiness and regulatory compliance.

WHAT decision are they making?

Which assets require regulatory attention THIS QUARTER based on classification changes, jurisdictional compliance status, and upcoming audit dates.

WHAT minimum visual supports this decision?

A timeline of asset classification changes (SCD Type 2) plus a compliance status table filtered by jurisdiction and asset class.

Why THIS visualization (not others)?

The timeline exposes when asset classifications change (audit trail), while the compliance table prioritizes assets by jurisdiction and urgency. A static snapshot would hide historical transitions that are legally relevant.

Business Problem

Rafael needs a fast, audit-ready view of portfolio changes across jurisdictions. He must identify assets with recent classification changes or upcoming compliance deadlines to prioritize legal reviews this quarter.

Solution Delivered

Visualizations:

Portfolio Overview Metrics: Quick snapshot of asset counts and market value.
SCD Type 2 Timeline (Primary): Asset classification changes over time.
Changes This Quarter: Table of assets with new versions in the current quarter.
Compliance Status by Jurisdiction: Grouped bar chart of current/expiring/expired assets.
High-Risk Assets: Table filtered to assets needing attention.
Upcoming Deadlines: Sorted table by urgency.
Point-in-Time Query: Reconstruct portfolio composition as of a selected date.

Data Source:

Model: Day 10 Family Office DW (dim_assets, fct_holdings, dim_clients, dim_date)
Refresh: Manual (re-run app to refresh)
Volume: Asset and holdings records from Day 10 synthetic DW

Key Insights (from synthetic logic)

Jurisdictions show different compliance urgency profiles due to derived status rules.
Equipment and certification assets drive most near-term deadlines.
SCD timeline highlights assets with multiple classification changes in the quarter.

How to Run Locally

Prerequisites:

Python 3.9+

Setup:

# 1. Configure environment variables
cp .env.example .env
# Edit .env with your paths

# 2. Install dependencies
pip install -r day17_requirements.txt

# 3. Run visualization
streamlit run day17_VIZ_legal_analytics_dashboard.py

Expected Output:

A Streamlit dashboard with the SCD timeline, compliance status chart, and point-in-time query table.

Architecture Decisions

Decision 1: Why Streamlit over Metabase/Power BI?

Streamlit enables fast Python-native development with custom timeline visuals and point-in-time query input in under 3 hours.

Decision 2: Why these 7 visuals (not 10)?

Each visual directly supports audit readiness or compliance prioritization. Additional charts would not change the decision.

Decision 3: How are jurisdiction and compliance derived?

The Day 10 model does not include jurisdiction, compliance, or multi-version SCD history. For reproducibility, this dashboard derives jurisdiction from client_type with asset_class overrides, derives compliance status deterministically, and generates a synthetic SCD change date 60 days before the latest holdings date (documented in day17/day17_QUERIES_legal_analytics.md).

Limitations & Future Enhancements

Current Limitations:

Jurisdiction and compliance status are derived (not sourced from real compliance data).
Manual refresh (no scheduled updates).
Single-user view (no role-based access).

Possible Enhancements (out of 3h scope):

Replace synthetic compliance fields with real regulatory data
Automated refresh with scheduled job
Jurisdiction-specific rule overlays

Portfolio Notes

Demonstrates:

Decision-first legal analytics framing
SCD Type 2 audit-trail visualization
SQL-driven reproducibility

Upwork Keywords: legal analytics, compliance dashboard, Streamlit, SCD Type 2, audit readiness

Built as part of Christmas Data Advent 2025 - Visualization Week (Days 16-20)

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