Compliance & Risk Agent
Find the gaps before they become risks
A custom AI agent that reviews documents, client files and internal processes against your policies, flags potential risks and escalates important findings for human review.
Important checks should not depend on memory
Manual compliance reviews can become slow, inconsistent and difficult to track when teams are working across large volumes of documents and changing requirements
Inconsistent Checks
Different reviewers may apply policies and checklists differently.
Limited Visibility
Outstanding actions and potential risks can be difficult to monitor across multiple cases.
Incomplete Files
Required documents, information or approvals may be missing.
Structured checks across your compliance workflow
Compares documents and internal processes against your approved policies and review criteria.
Document Requirements
Checks whether required files, fields, dates and supporting information are present.
Risk & Exception Flags
Highlights missing information, inconsistencies and unusual items requiring further investigation.
Checklist Completion
Policy Alignment
Records which checks have passed, failed or need human review.
Structured checks across your compliance workflow
Compares documents and internal processes against your approved policies and review criteria.
Document Requirements
Checks whether required files, fields, dates and supporting information are present.
Risk & Exception Flags
Highlights missing information, inconsistencies and unusual items requiring further investigation.
Checklist Completion
Policy Alignment
Records which checks have passed, failed or need human review.
Check. Flag. Escalate.
Controlled Review Process
01 — Check
The agent reviews selected documents, client files or process information against defined rules.
02 — Flag
Missing, inconsistent or potentially high-risk items are clearly identified.
Relevant findings are passed to the appropriate team member with a structured summary and supporting context.
03 — Escalate
Automation supports the review Your team makes the decision
Document completeness checks
Clear Responsibilities
Checklist application
Policy comparisons
Missing-information requests
Structured risk summaries
Regulatory interpretation
Professional judgement
Final risk classification
Approval decisions
Remedial actions
The agent can support
Your finance team remains responsible for
Designed around your existing finance process
The agent can work with supported:
Business email
Forms and client portals
Spreadsheets
Cloud document storage
CRM systems
Calendars
Accounting platforms
Internal checklists and workflows
Integration options depend on the platform, available APIs and account permissions.
Designed around your existing finance process
The agent can work with supported:
Business email
Forms and client portals
Spreadsheets
Cloud document storage
CRM systems
Calendars
Accounting platforms
Internal checklists and workflows
Integration options depend on the platform, available APIs and account permissions.
Built around your internal requirements
Common Use Cases
Client File Review
Check whether onboarding records, identification documents and supporting information are complete.
Compare submitted documents against approved internal policies, templates and requirements.
Policy-Based Document Review
Internal Process Checks
Confirm that required workflow stages, approvals and review steps have been completed.
Expiry & Follow-Up Tracking
Identify expired documents, upcoming renewal dates and outstanding compliance actions.
Built around your internal requirements
Common Use Cases
Client File Review
Check whether onboarding records, identification documents and supporting information are complete.
Compare submitted documents against approved internal policies, templates and requirements.
Policy-Based Document Review
Internal Process Checks
Confirm that required workflow stages, approvals and review steps have been completed.
Expiry & Follow-Up Tracking
Identify expired documents, upcoming renewal dates and outstanding compliance actions.
FAQ
Can the agent guarantee compliance?
No. It supports compliance reviews using your approved rules, policies and reference materials. Final responsibility remains with your organisation and qualified professionals.
Can we provide our own compliance checklist?
Yes. The agent can be designed around your existing policies, checklists and review criteria.
Can it identify missing or expired documents?
Yes. It can check required document lists, defined fields and expiry dates.
Can compliance rules be updated?
Yes. Rules and knowledge sources can be updated when your policies or requirements change.
Can it connect with our existing systems?
Integration depends on your CRM, document platform, case-management system, APIs and permissions.
Can we start with one process?
Yes. A focused MVP can begin with one client-review process or compliance checklist.
Make compliance checks more consistent
Tell us which documents, client files or internal processes your team currently reviews manually. We’ll help you design a controlled workflow around your policies, checklists and escalation rules.