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
- check_circleMonitors actions vs firm procedures
- check_circleFlags repeated inconsistencies
- check_circleDetects missing documentation patterns
- check_circleIdentifies rep-level trends needing coaching
- check_circleSurfaces early indicators of supervisory gaps
What It Eliminates
- closeSupervisors discovering issues months later
- closeFinding "patterns" only during exams
- closeAdvisors repeating the same mistakes
- closeManual 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.