AI Compliance Reviews for Financial Firms
Done in Minutes, Not Days
Automatically analyse emails, marketing content, reports, and client communications against FCA, SEC, and CBI regulations with clear risk scores, explanations, and audit-ready outputs.
Built for Regulated Financial Teams
Compliance Officers
Reduce review time while increasing consistency
Marketing Teams
Publish compliant content without delays
Advisers & Wealth Managers
Check client communications before sending
Risk & Governance Teams
Maintain audit trails and oversight
How It Works
Get compliance feedback in three simple steps.
Upload Content
Paste text or upload a document (PDF, DOCX, TXT). The AI instantly reads and prepares it for analysis.
Choose Regulator
Select FCA, CBI, or SEC and the relevant use case. Our engine tailors its analysis to the right rulebook.
Get Score & Suggestions
Receive a detailed compliance score, issue breakdown, and an AI-powered rewrite to fix problems.
What ComplyAI Actually Does
ComplyAI analyses written financial communications using AI trained on regulatory rules and conduct standards. It compares your content against applicable regulations, flags risks, explains why something is non-compliant, and suggests compliant alternatives — all while maintaining a full audit trail.
- •Analyses text, documents, and structured content
- •Maps issues to specific regulatory principles
- •Scores overall compliance risk
- •Generates regulator-defensible explanations
A Compliance Engine, Not a General-Purpose Chatbot
Using a generic AI like ChatGPT for compliance is a high-risk strategy. ComplyAI is a purpose-built analysis tool designed for the specific needs of regulated financial firms.
ComplyAI: Specialist Engine
Regulatory Alignment
Fine-tuned on FCA, CBI, and SEC rulebooks, industry standards, and your own internal policies.
Structured, Audit-Ready Outputs
Generates detailed compliance scores, risk categories, and actionable corrections.
Secure Customization
Integrates your firm’s private compliance documents as part of its knowledge base.
Workflow Automation
Provides consistent, repeatable analysis without relying on expert user prompting.
**Plus:** Predictable credit-based usage, enterprise-grade privacy, version control, and a full communication audit history.
General AI (e.g., ChatGPT)
General-Purpose Knowledge
Not specialized for financial regulations; may hallucinate or give outdated advice.
Unstructured, Unreliable Outputs
Produces conversational text that is not suitable for an audit trail or formal review.
Public Data Only
Cannot securely access or learn from your private, internal compliance documents.
Requires Prompting Expertise
The quality of the output is highly dependent on the skill of the user asking the questions.
Designed for creative tasks and general queries, not for the rigors of regulated financial compliance workflows.
Security You Can Trust
Built for regulated businesses that cannot afford risk.
Bank-Grade Security Architecture
- End-to-end encryption (TLS & AES-256 at rest)
- Hardened server-side access controls
- Strict firewall and environment isolation
Compliance-Grade Access Control
- Granular role-based permissions (admin, member)
- Strict organisation-level data siloing
- Immutable analysis records for audit integrity
Regulatory Confidence
- FCA, CBI, and SEC aligned rule frameworks
- Version-locked LLMs for consistent, repeatable outputs
- Full audit trail of every action and compliance check
Enterprise Data Governance
- Document hashing—we don’t store full content
- Automated data retention policies
- Backend-only handling of all sensitive operations
Ready to Streamline Your Compliance?
Sign up today for a free trial and experience the power of AI-driven compliance. No credit card required.