Communication Review
Analyzes emails, CRM notes, call recaps, and advisor-rep interactions for missing documentation, inconsistencies, escalation triggers, or steps required by supervisory procedures.
Why This Matters
Most supervision findings arise not from wrongdoing but from missing documentation, incomplete rationale, or informal language. Communication volume makes it impossible for principals to manually review everything consistently.
Communication review doesn't fail because advisors write badly. It fails because there's no systematic way to catch gaps, inconsistencies, or escalation triggers before they become findings.
What This Agent Automates
- Scans emails, CRM entries, call summaries
- Flags missing notes, rationale, disclosures
- Identifies statements requiring supervisory review
- Checks consistency across notes and trade actions
- Routes flagged items into the supervision workflow
What It Eliminates
- "Can you add a note for this?" emails
- Incomplete CRM entries that block processes
- Principals guessing context from fragmented notes
- Advisors forgetting required follow-ups
How It Works
Ingest
Email, CRM, call summaries.
Analyze
Missing steps, inconsistencies, escalation triggers.
Route
If escalation is required, push to principal.
Document
Evidence added to client & supervision record.
Example Outputs
Missing: call rationale required for risk change.
Escalate: implied performance claims.
Follow-up needed: client requested allocation change.
Who This Helps
Advisors
Clear signals on what notes are missing or incomplete.
Principals
Automated triage so you only review high-risk interactions.
Ops Teams
Consistent documentation that flows into downstream workflows.
Compliance
Audit-ready evidence of communication supervision.