Skip to content

Financial Services Compliance

Copilot for Financial Services Compliance: From Policies to Proof in sprints

Automate control mapping, evidence collection, policy Q&A, and review workflows with an auditable Copilot built on your data. Each build has its own signed acceptance criteria.

Production AI. Not PowerPoint.

Tell us the workflow See how the build works

The problem

The Problem (FSI)

Scattered Information

Policies, procedures, and regulatory updates are scattered across systems.

Manual Control Testing

Manual control testing & evidence collection slow audits and eat analyst time.

Operational Risk

Frontline teams lack clear, policy-grounded answers, creating operational risk.

Siloed Tools

Siloed tools (GRC, DMS, ticketing) limit visibility and traceability.

Our solution

Our Solution

Compliance Copilot + Evidence Automation

Copilot Q&A with Citations

Search across policies, procedures, and past audits with full provenance and chain-of-custody.

Automated Evidence Requests

Evidence intake via email, Teams, or Forms tied to control IDs and owners. Includes SLAs and notifications.

Control Testing Workflows

Versioning, SLAs, segregation of duties, and reviewer-in-the-loop redlining for high-risk areas.

Regulator-Ready Dashboards

Real-time readiness, issues tracking, and exportable reports for auditors and regulators.

What's Included

  • RAG over governed sources like SharePoint, Confluence, and GRC platforms with full chain-of-custody
  • Policy/Control ontology, mapping to frameworks (SOX, GLBA, FFIEC, ISO, SOC, PCI)
  • Evidence vault with immutable logs and export packs
  • Connectors to ServiceNow, Jira, Archer, OneTrust, and Power BI

Results

Results Delivered

  • Faster

    Policy & control reviews

  • Less

    Manual analyst effort

  • Full

    Audit traceability

  • Fewer findings through proactive monitoring

How it works

How It Works: Sprint Plan

  1. Scope and agreement

    We scope one compliance workflow with you and write its deliverables and acceptance criteria into an agreement you sign off on. Commercial terms are set in the statement of work.

    Deliverables:

    • Data and access catalog with sensitivity map
    • Framework mapping (SOX, GLBA, FFIEC, ISO, SOC, PCI)
    • Quick-win control identification
    • Reference architecture + ROI model

  2. Build

    RAG services with citations, evidence automations, reviewer workflows, GRC and DMS integrations, and dashboards.

    Deliverables:

    • Policy and control graph with taxonomy and mappings
    • Copilot prompt guardrails and evaluation tests
    • Evidence intake workflows and audit pack
    • Compliance readiness dashboard

  3. Acceptance, then run

    User acceptance testing, control owner enablement, production rollout, and monitoring with governance.

    Deliverables:

    • User acceptance testing documentation
    • Control owner training & enablement
    • Production deployment
    • Monitoring & governance runbook

Platform

Tech & Compliance

Stack

  • Azure OpenAI
  • Azure AI Search and Vector
  • Power Platform
  • SharePoint or Confluence
  • ServiceNow or Jira
  • Power BI

Security/Governance

  • Built to SOC 2, HIPAA and GDPR standards
  • EU AI Act-aligned delivery
  • SOX, GLBA, and PCI alignment
  • RBAC
  • DLP
  • Tenant isolation

Integrations

  • Archer or OneTrust
  • Okta or Azure AD
  • SIEM (optional)
  • Data loss prevention

FAQ

Frequently Asked Questions

How does the compliance copilot handle SOX 404 requirements?

The copilot automates control testing documentation, evidence collection, and deviation tracking for SOX 404 compliance. Every test result includes full audit trails with timestamps, user identity, and source data references.

Can the copilot monitor regulatory changes from multiple agencies?

Yes. The system monitors feeds from the SEC, FINRA, FDIC, OCC, CFPB, and state regulators simultaneously. Changes are mapped to your existing controls and flagged for review with impact assessments.

How does the copilot integrate with our existing compliance workflows?

We integrate with ServiceNow GRC, Archer, MetricStream, and other platforms. The copilot augments your current workflows by automating evidence collection, control testing, and regulatory change tracking.

What security standards do you build to?

We build systems to SOC 2, HIPAA, and GDPR standards, aligned with the EU AI Act and built to meet FFIEC examination requirements. We provide full security documentation and support your audits.

How quickly can we see results from compliance automation?

Most financial institutions see measurable results in a few sprints. We measure them against the acceptance criteria agreed before the build, such as the time spent collecting evidence by hand and how quickly a regulatory change reaches the controls it affects.

Research paper

The six-layer AI governance stack: Governance that ships, not governance that stalls

AI governance in six layers, installed as running systems instead of policy binders.

Read the paper
Get the designed PDF

Move from policy overload to provable compliance

Deployed in regulated environments across healthcare, finance, and pharma. Microsoft Solutions Partner.

Tell us the workflow See how the build works
  • Built to SOC 2, HIPAA and GDPR standards
  • EU AI Act-aligned delivery
  • Microsoft Solutions Partner