People, risk and sustainability. Chief Compliance Officer
AI for the Compliance Office
Every regulator in every market keeps writing new rules. Your team still maps them in spreadsheets.
Analysts clear thousands of false alerts a week. Controls are tested on samples of 25, KYC reviews pile up and nobody has a full list of the AI the company already uses. We map the Compliance Office the way your team actually works, then put agents where they turn volume into evidence.
The short answer
It takes the volume out of compliance. Agents triage screening alerts with full evidence, map new rules to policies and controls, test controls on the full population, gather and check KYC documents and keep an inventory of every AI system in use.
Your team keeps the interpretation, the escalations and every decision a regulator will ask about. The agents do the reading, checking and evidence work, so findings drop and you can prove it.
The mandate
Keep the company within the rules of every market it operates in. And prove it to regulators and the board.
What the board measures you on
Regulatory findings
Findings and fines by regulator
Time to implement change
From new rule to working control
Control testing coverage
Share of controls tested in full
Screening quality
False positives and alert backlog
Policy attestation
Staff who have read and confirmed
KYC backlog
Reviews overdue and onboarding time
The canvas of the Compliance Office
Most compliance tools raise alerts and store evidence. The real work, and the real cost, sits in clearing the alerts, collecting the evidence and keeping up with what changed.
Canvas 1
What you run
The compliance engine.
Policies and training
Compliance policies, attestations and training.
Monitoring and surveillance
AML, KYC, sanctions, conduct and transaction monitoring.
Control testing
Testing that controls work, and the evidence that they do.
Regulatory reporting
Returns and reports to regulators.
Investigations
Breaches, whistleblowing and remediation.
Canvas 2
What you answer for
The things regulators and the board hold you to.
Regulatory change
Circulars and rules from every regulator in every market.
Third party compliance
Due diligence on partners, agents and intermediaries.
AI compliance
AI systems inventoried and classified under the EU AI Act.
Open findings
Every regulator and audit finding closed on time.
Where value leaks
Most of them come from volume. More alerts, more rules and more evidence than people can handle, so teams sample and hope.
01
Screening false positives
Analysts clear thousands of false alerts every week.
Triage agents. Enrich each alert, close clear false positives with evidence and build the case for the rest.
False positive handling
Analyst hours
02
Regulatory mapping by hand
Circulars mapped to controls in spreadsheets.
Regulatory mapping agents. Link every new rule to the policies, controls and owners it affects.
Time to implement change
Obligations with an owner
03
Sample based testing
Controls tested on 25 items out of thousands.
Testing agents. Check the full population and send exceptions to the control owner with evidence.
Controls tested in full
Issues found early
04
KYC refresh backlog
Periodic reviews overdue and onboarding slow.
KYC agents. Gather and check documents, screen the customer and draft the review for an analyst.
KYC backlog
Onboarding time
05
Third party blind spots
Due diligence done once at onboarding and never again.
Third party agents. Screen partners and intermediaries continuously and flag changes in ownership, sanctions or news.
Third parties monitored
Time to flag
06
Undocumented AI use
No inventory of the AI already in use.
AI inventory agents. Find AI across the company, classify it by risk tier and keep the record current.
AI systems classified
Open AI risks
Process lifecycles
We start from the tools you already run. The orange steps are where an agent takes on the work. Interpretation and escalation stay with your team.
Regulatory change
Every new rule
Scan
Every regulator, every market
Agent
Interpret
Map
To policies and controls
Agent
Implement
Evidence
Collected as work happens
Agent
Attest
Typical systems. GRC tools, regulatory feeds, policy libraries
Monitoring and screening
Every alert
Triage
Alert enriched
Agent
Investigate
Case built
Agent
Decide
Escalate
Report
Drafted for review
Agent
Typical systems. NICE Actimize, LexisNexis, case management
Know your customer
Onboarding and every refresh
Onboard
Verify
Documents read and checked
Agent
Screen
Sanctions and media
Agent
Risk rate
Refresh
Review drafted
Agent
Typical systems. Fenergo, screening tools, core banking
Control testing
Continuous
Design
Test
Full population
Agent
Flag
Exceptions with evidence
Agent
Fix
Report
Typical systems. GRC tools, ERP, access management
Agent intervention point
The Compliance control tower
Not a quarterly compliance report. A live view of what’s changing, what’s tested, what’s open and where the evidence is missing.
Illustrative
Compliance control tower
Sample data to show the view. Not client results.
Rule changes
23
In flight
Tested in full
78%
▲ from 12%
Open findings
11
2 overdue
Alerts cleared
71%
With evidence
KYC overdue
140
▼ from 2,300
AI systems
64
6 to classify
This week’s compliance brief
Rules
New AML guidance affects 14 obligations, 6 without an owner
Owners proposed for sign off
Controls
Expense control failing in two entities
Found in full testing. Owners notified
Partner
A distributor in one market has a new owner
Enhanced due diligence started
Screening
Sample review of closed alerts found no errors
Second month in a row
From obligation to evidence
Obligations
412
With control
318
Tested
247
Evidence
229
94 obligations have no control yet. That’s the gap a regulator finds first.
Illustrative example. Figures are invented to show how the view works. In discovery we build it on your own data and KPIs.
Your industry changes the agenda
The canvas stays the same. The regulators, the rules and the risks do not. Here’s the question we hear most from compliance leaders in each industry, and where agents help first.
CPG
How do we check distributors and agents in every market?
Third party due diligence and monitoring
FMCG
How do we keep product and label rules current across markets?
Regulatory mapping by market
Retail
How do we prove consumer and data rules are followed in every store?
Full population control testing
D2C
How do we stay compliant across markets with a small team?
Regulatory scanning and policy answers
Automotive
How do we evidence product safety and type approval duties?
Evidence collection and regulatory mapping
Healthcare
How do we stay ahead of medical device and data rules?
Regulatory mapping and control testing
Energy
How do we prove market conduct and sanctions compliance?
Trade surveillance and sanctions screening
Manufacturing
How do we screen suppliers for sanctions and forced labour?
Third party screening at scale
Logistics
How do we screen every shipment for sanctions and export controls?
Shipment screening and alert triage
BFSI
How do we cut false positives without missing real risk?
Alert triage and KYC refresh
B2B technology
How do we answer every customer’s security and AI compliance questions?
AI inventory and evidence on demand
How the Compliance Office connects
Legal reads the rule, compliance turns it into policy and risk tests that the controls work. The agents that serve the Compliance Office share the same platform and data as those offices, so every obligation has one owner, one control and one trail of evidence.
How we’d start
Pilot 1
Alert triage on one screening queue
↳
Triage agents on one sanctions or AML alert queue
↳
Clear false positives closed with evidence, the rest sent to analysts as built cases
↳
Handling time and quality measured on a reviewed sample
Your decision
Whether to extend it to every queue.
Pilot 2
One regulation from rule to evidence
↳
One new regulation mapped to policies, controls and owners
↳
Key controls tested on the full population
↳
Evidence collected and ready for attestation
Your decision
Whether every regulatory change runs this way.
Both run under our Validation First Framework. They’re tested on your own data before you commit a larger budget, and if the numbers don’t hold, we tell you.
Your intervention map
Bring your open findings, your alert volumes and the rules coming next year. We bring the Compliance Office canvas. In one session we map it to your systems and regulators, and mark where agents would pay back first.
01
Your Compliance Office canvas
What you run and answer for, checked against how your team and regulators really work.
02
Your value chain
The canvas placed on your industry and company, showing where your obligations and risks really sit.
03
Your intervention points
Each leak with an agent design, its controls and the KPI it moves. Delivered as a mind map, an architecture view or an interactive dashboard.
AI for the Compliance Office, answered
What can AI do for the Compliance Office?
Agentic AI takes the volume out of compliance. Agents triage screening alerts with full evidence, map new rules to policies and controls, test controls on the full population instead of samples, gather and check KYC documents and keep an inventory of every AI system in use. Your team spends its time on judgement and real risk, not false alarms.
Can AI reduce false positives in AML and sanctions screening?
Yes. Triage agents enrich each alert with customer, transaction and public data, close clear false positives with the evidence attached and send the rest to an analyst with the case already built. Analysts review samples of closed alerts, and every decision is logged for the regulator.
Will regulators accept AI in compliance?
Regulators expect you to explain and evidence what your systems do. Every agent action is logged with the data it used and the reason for the outcome. People stay responsible for decisions that matter, and you can show a regulator exactly how any alert or control test was handled.
Can AI test controls on the full population?
Yes. Testing agents check every transaction, approval or access change against the control, not a sample of 25. Exceptions go to the control owner with the evidence attached. Issues that sampling would miss are found months earlier.
How does the EU AI Act affect the Compliance Office?
You need to know every AI system in use, what it does and which risk tier it falls in. Under the Digital Omnibus, high risk obligations for Annex III systems apply from 2 December 2027. Inventory agents find AI in use across the company, classify it and keep the record current as new tools arrive.
Where should a Chief Compliance Officer start with agentic AI?
With one screening queue. Put triage agents on the alerts, keep analysts on every escalation and measure false positive handling time and quality on a reviewed sample. Taking one new regulation from rule to evidence is a strong second pilot.
