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, compliant answers, creating operational risk.
Siloed Tools
Siloed tools (GRC, DMS, ticketing) limit visibility and traceability.
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 Delivered
Faster policy & control reviews
Analyst time saved
Audit traceability
Fewer findings through proactive monitoring
How It Works: 90-Day Plan
Weeks 1-2: Assessment ($9,500)
Inventory sources, classify sensitivity, map frameworks, identify quick-win controls, and create reference architecture with ROI model.
Deliverables:
- • Data and access catalog with sensitivity map
- • Framework mapping (SOX, GLBA, FFIEC, ISO, SOC, PCI)
- • Quick-win control identification
- • Reference architecture + ROI model
Weeks 3-8: 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
Weeks 9-12: Scale
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
Tech & Compliance
Stack
- • Azure OpenAI
- • Azure AI Search and Vector
- • Power Platform
- • SharePoint or Confluence
- • ServiceNow or Jira
- • Power BI
Security/Governance
- • SOC 2
- • ISO 27001
- • GDPR
- • SOX, GLBA, and PCI alignment
- • RBAC
- • DLP
- • Tenant isolation
Integrations
- • Archer or OneTrust
- • Okta or Azure AD
- • SIEM (optional)
- • Data loss prevention
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 certifications do your systems carry?
Our platforms carry SOC 2 Type II certification, ISO 27001, and are built to meet FFIEC examination requirements. We provide full security documentation and support third-party audits.
How quickly can we see results from compliance automation?
Most financial institutions see measurable results within 90 days — typically a 50-70% reduction in manual evidence collection time and same-day awareness of regulatory changes affecting their controls.