AI for Financial Services: SOX, FFIEC, and GLBA Compliant
Automated control testing, regulatory change management, and audit preparation. Built for examiner scrutiny and financial services governance.
What we see in the field.
SOX control testing is manual and never-ending
Thousands of hours quarterly. Repetitive, rules-based work that consumes your most skilled compliance staff. One audit cycle ends as the next begins.
Regulatory change velocity accelerating
FFIEC, GLBA, BSA/AML, FINRA, and state regs change frequently. Your team finds out weeks or months late, usually from auditors instead of proactive monitoring.
Audit prep consumes months
Evidence collection and examiner preparation consume enormous resources annually. Staff spend weeks pulling evidence from dozens of systems instead of analyzing it.
Fraud detection gaps grow with volume
Traditional rules miss sophisticated patterns. Transaction volumes grow faster than your team can write rules, and the patterns that matter are increasingly complex.
Solutions that ship in sprints.
Compliance & Risk Agents
SOX 404 control testing, FFIEC examination prep, GLBA compliance monitoring, and BSA/AML automation.
Learn more →Enterprise RAG Systems
Regulatory research with citations and audit trails across SOX, FFIEC, GLBA, and state banking regulations.
Learn more →Business Function Copilots
AskFinance for treasury and AP/AR workflows, AskLegal for regulatory interpretation and contract review.
Learn more →Real-world applications.
SOX Control Testing Automation
Continuous automated testing of internal controls with real-time deviation alerts and audit-ready evidence.
Regulatory Change Management
AI monitors FFIEC, SEC, FINRA, and state regulatory feeds to flag changes that affect your controls.
Audit Preparation Intelligence
Automated evidence collection and organization across systems, ready for examiner review.
BSA/AML Transaction Monitoring
AI-enhanced monitoring of transaction patterns with reduced false positives and faster SAR filing.
Credit Risk Assessment
AI-powered analysis of loan portfolios with real-time risk scoring and concentration monitoring.
Regulatory Reporting Automation
Automated generation of call reports, HMDA data, and other regulatory filings with validation checks.
Reduction in SOX control testing time with continuous automated monitoring replacing quarterly manual cycles.
“We went from dreading audit season to having audit-ready evidence available on demand. The continuous monitoring changed everything.”
Chief Compliance Officer
Read engagement note →Production AI in ninety days.
Assess
Map workflows, data sources, and compliance requirements. Identify highest-impact use case.
Build
Architecture, development, and integration with your systems. Security hardening from day one.
Pilot
Deploy with pilot group. Measure against success metrics. Refine based on real usage.
Harden
Production hardening, monitoring, documentation, and handoff with training and support.
Questions buyers ask.
How do your AI systems meet SOX compliance requirements?
Our systems are built with SOX 404 compliance from the ground up — complete audit trails for every AI decision, segregation of duties controls, and evidence preservation. Every automated control test is logged and traceable for examiner review.
Can you integrate with our core banking system?
Yes. We integrate with FIS, Fiserv, Jack Henry, and other core banking platforms. The AI reads transaction data and system logs without modifying records of account.
How do you handle multi-state regulatory requirements?
We configure compliance monitoring for federal (FFIEC, OCC) and state-specific regulations simultaneously. The system maps overlapping requirements to avoid duplicate testing while ensuring full coverage.
What happens when the AI flags a potential compliance issue?
Flagged issues are routed to the appropriate compliance team with severity scoring, affected controls, and recommended remediation steps. Critical issues trigger immediate alerts, while lower-severity findings enter standard review workflows.
How quickly can we deploy compliance AI across our organization?
Initial deployment of continuous control monitoring follows our sprint method. We start with your highest-risk frameworks (typically SOX and BSA/AML), then expand to additional regulatory domains in subsequent phases.
Ready to ship AI that actually works?
Send a brief. We'll return a scope in 48 hours. Two sprints before you pay.
Start your two sprints →