Compliance agents. Built for regulated firms.
An agent has a role, a start date, a monthly cost and a named supervisor. It starts in three weeks, works the queue, and leaves a complete audit trail — by construction, not by discipline.
Five off the shelf.
Alert & Case Triage Agent
Works the queue, gathers transaction and customer context, drafts dispositions and escalation rationale. Tuned to BSA/AML, OFAC, and fraud typologies for US financial institutions.
Every decision logged against a named control — the evidence exists before the examiner asks for it.
Onboarding & KYC Agent
Document extraction, identity verification, beneficial ownership mapping, and ongoing CDD refresh. Handles individual and entity customers, including complex ownership chains.
Regulatory Change Agent
Monitors FinCEN, OCC, FDIC, NCUA, and SEC issuances. Maps new rules onto your policy estate, flags gaps, and drafts update language. Produces a change register your audit committee can review.
Control Testing & QA Agent
Samples case work, tests controls against your written procedures, identifies drift, and builds the evidence pack your independent testing programme requires. Reports monthly.
Advisory & Conduct Agent
Marketing material review, suitability documentation, personal trading surveillance, and books-and-records for investment advisers and broker-dealers.
Three weeks, four steps.
Scope
What the agent does, what it escalates, what a person approves. Written down before anything is built.
Deploy
Integration with your systems, tuning on your data, a validation run before any live volume.
Supervise
A named officer reviews exceptions. You receive a monthly performance and control-testing file.
Extend
The second agent costs less and takes less time than the first. The model risk file already exists.
What no agent does.
A SAR, CTR, or Form ADV amendment — an agent drafts it. A person files it.
Dispositioned by an agent, closed and signed by a person.
BSA Officer, CCO, MLRO — those are people. Delegating work is not delegating responsibility.
Ready to start in three weeks.
Tell us which process you want to hand off. We will scope an agent, name a supervisor, and give you a start date.