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 we build in two weeks.
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.
Commission reconciliation
Every month, around 12 hours of cross-checks against the AMS to find the commissions a carrier forgot to pay. We build the agent that catches the variances against a real statement cycle. Built in two weeks, in your environment.
Quarterly household reporting
At quarter end, operations builds the same custom performance packet for every household, roughly 60 hours across an 80-household book. We build the agent that produces them to your advisors’ standard. Built in two weeks.
QueryNow built the initial Floww.io platform, the data and workflow backbone the company then scaled with its own internal team. The same approach applies to brokerage and wealth operations: one workflow, scoped and signed, built in two weeks.
Talk to us about financial services →From workflow to working tool in two weeks.
Scope and sign
We define the workflow, the deliverables, and the acceptance criteria, and sign an agreement on them before anything starts.
Build
We build the tool in your environment, with Claude Code and automated evaluation against your own data.
Pay when it works
$10,000, due only after every criterion in the signed agreement is met. Nothing before that.
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?
We scope one workflow with you, sign the acceptance criteria, and build it in two weeks. We start with your highest-risk framework, typically SOX or BSA/AML, then run additional regulatory domains as their own two-week builds.
Ready to ship AI that actually works?
Send us the workflow. We return a fixed scope, price, and acceptance criteria in 48 hours. You pay $10,000 only after it works.
Tell us the workflow →