Comply Announces ComplyAI: Establishing a Responsible AI Governance Standard for Regulated Financial Services Learn More
ComplyAI brings a more deliberate approach to AI in compliance – built for transparency, human oversight, and governance from the start.
Comply’s consultants help firms establish the governance structure – including clear Policies and Procedures – needed to manage increasing AI scrutiny. Meanwhile, AI-enabled tools help scale compliance work, with clear audit logs and explainability to support rationale.
Before integrating AI technology, firms should think through governance and risk. ComplyAI Consulting Services support AI risk assessments, mock audits, governance reviews, technology procurement guidance, and education programs for employees.
This advisory layer helps firms move from broad AI interest to a documented governance framework, aligned with regulatory expectations.
ComplyAI Policy Guide – an interactive chat tool – provides your employees with real-time answers grounded in your firm’s approved compliance manuals. It helps employees understand their obligations and make the right decisions without adding to compliance teams’ workloads.
As a single-tenant, policy-bound intelligence layer, it draws only from internal firm documentation – free from outside influence. With each answer, ComplyAI Policy Guide clearly cites its source material.
ComplyAI Calendar Builder turns compliance tasks and testing activities listed in your firm’s policies and Form ADV into structured compliance tasks.
By scanning Policies and Procedures, Written Supervisory Procedures, and compliance manuals, it helps generate calendar tasks based on firm-specific requirements.
The AI Governance Task Library gives firms a practical way to track AI oversight across the business.
Prebuilt calendar tasks, informed by Comply’s regulatory consulting experts, help teams document governance activities related to oversight, testing, review, and recordkeeping.
AI risk assessment questions and policy templates provide a structured approach to evaluating AI exposure and documenting the controls around its use.
These help guide compliance reflect on core governance considerations, making it easier to assess risk, define expectations, and build records aligned with regulatory scrutiny.
Comply’s Annual Review Tool gives firms a structured way to capture and document AI use cases within the annual review process, creating a clearer record for oversight and reporting.
ComplyAI Support serves as an intelligent assistant within the Comply Platform, providing compliance teams with 24/7 access to guidance and answers to platform questions. It helps users quickly find information, understand functionality, and make the most out of Comply’s 360-degree compliance ecosystem.
This on-demand session brings together regulatory, security, and product leaders to break down what compliance teams need to demonstrate today: clear oversight, explainable outcomes, and documented control.
You’ll learn:
Explore how nearly 600 compliance leaders are adopting AI, advancing governance, and reshaping oversight across the industry.
Understand how regulators are approaching AI – and what firms should document now. The AI Regulatory Rundown highlights the latest guidance from the SEC, FINRA, and global authorities to help you navigate emerging expectations with confidence.
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