Compliance Drift
Continuously monitors advisor & rep activity for drift from your firm's documented procedures, supervisory rules, and expected behaviors — before they become exam findings.
Why This Matters
Most exam findings come from drift, not misconduct. Firms cannot monitor every communication, trade, note, and update manually. Drift accumulates quietly — until FINRA/SEC examiners connect the dots.
Compliance drift doesn't happen because advisors ignore rules. It happens because small deviations accumulate over time—and there's no system tracking patterns until it's too late.
What This Agent Automates
- Monitors actions vs firm procedures
- Flags repeated inconsistencies
- Detects missing documentation patterns
- Identifies rep-level trends needing coaching
- Surfaces early indicators of supervisory gaps
What It Eliminates
- Supervisors discovering issues months later
- Finding "patterns" only during exams
- Advisors repeating the same mistakes
- Manual sampling-based reviews
How It Works
Ingest
Comms, notes, trades, updates.
Compare
Procedures, expectations, training history.
Detect
Repeated missing steps, inconsistencies, deviations.
Notify
Escalate or coach early.
Example Outputs
Pattern detected: 8 missing rationale notes in last 14 days.
Persistent mismatch: objectives not updated after client requests.
Supervisor alert: rep repeatedly bypassing required review steps.
Who This Helps
Advisors
Real-time coaching to stay within firm guardrails.
Supervisors
Early detection of patterns before they become systemic issues.
CCOs
Data-driven proof of firm-wide supervisory effectiveness.
Management
Visibility into operational risk across the entire firm.