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
- check_circleScans emails, CRM entries, call summaries
- check_circleFlags missing notes, rationale, disclosures
- check_circleIdentifies statements requiring supervisory review
- check_circleChecks consistency across notes and trade actions
- check_circleRoutes flagged items into the supervision workflow
What It Eliminates
- close"Can you add a note for this?" emails
- closeIncomplete CRM entries that block processes
- closePrincipals guessing context from fragmented notes
- closeAdvisors 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.