Compliance Monitoring Agent
Continuous compliance oversight for wealth managers
Keep every mandate within its rules - automatically. The Compliance Monitoring Agent continuously checks portfolio guidelines, suitability, and regulatory requirements, raising real-time breach alerts with clear explanations and a full audit trail. It supports your team's oversight - the institution remains responsible for suitability and compliance decisions.
Always-On Compliance Oversight
The Compliance Monitoring Agent connects to your Portfolio Management System and continuously checks every mandate against its investment guidelines, the client's risk profile, and applicable regulations - so breaches are caught the moment they happen, not at the next periodic review.
Powered by MCP integration, it explains the cause of every alert and keeps a complete, exportable audit trail, giving compliance teams confidence and regulators a clear record.
Key Features
- Continuous portfolio-guideline monitoring
- Investment suitability & risk-profile checks
- Sanctions & restricted-list screening
- Regulatory rule coverage (FinSA/FIDLEG, and MiFID II where relevant)
- Real-time breach alerts with explanations
- Complete, exportable audit trail
Benefits
Catch Issues Early
Continuous monitoring flags guideline and suitability breaches before they escalate into client or regulatory problems.
Less Manual Review
Automate routine checks so your compliance team can focus on judgment calls instead of spreadsheets.
Audit-Ready
Every check and alert is logged and exportable for regulators, and processed inside your own environment.
What It Monitors
Covers the controls every mandate depends on. Checks run inside your own environment, and nothing confidential is sent to external models.
From Breach to Resolution in Seconds
See how compliance teams and relationship managers put the agent to work
Breach Check
"Which of my mandates are currently breaching their investment guidelines, and what's the cause?"
Suitability
"Are all portfolios still aligned with their clients' risk profiles?"
Concentration
"Show me any positions exceeding our concentration limits."
Sanctions
"Has any holding appeared on an updated sanctions list this week?"
Pre-Trade Check
"Would buying 5% Nestlé in the Keller mandate breach any guideline?"
Regulatory
"Flag any FinSA/FIDLEG suitability gaps across my book."
Audit Log
"Give me an audit log of all guideline breaches this quarter with their status."
Drift Alert
"Which mandates have drifted out of their target allocation bands?"
Daily Summary
"Summarize today's compliance status across all my mandates."
Ready to put compliance on autopilot?
See how the Compliance Monitoring Agent keeps every mandate within its rules with real-time alerts, clear explanations, and an audit-ready trail.
Schedule Demo