Continuously monitors advisor & rep activity for drift from your firm's documented procedures, supervisory rules, and expected behaviors — before they become exam findings.
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.
This agent fixes exactly that.
Comms, notes, trades, updates.
Procedures, expectations, training history.
Repeated missing steps, inconsistencies, deviations.
Escalate or coach early.
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.
Spot drift before exams.
Pattern detection across the firm.
Rep-level trends for coaching.
Early warning system.
Your advisors focus on clients. Your ops team gets consistency. Your principals get predictability. PitCrew handles the rest.