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  • Compass · Governance, risk, and compliance, unified

Compliance, intelligently governed.

The native-AI compliance platform built for broker-dealers and registered investment advisers. Not legacy regtech with a chatbot attached an AI that understands your policies, your records, and the current rule set, and acts inside the workflow.
  • Surveillance · Books & Records · Exam Readiness · Regulatory Change · AML
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Books & records
  • The three promises

Chart, Steer, Anticipate

A compass doesn’t guess. It points true regardless of the weather, and every course begins from it. Governance, risk, and compliance, unified. Three promises the platform is built to keep.

Chart

  • Every obligation, mapped
A scattered compliance program, brought into one system of record.

Steer

  • Judgment on call
Native AI that advises, drafts, and explains a steady hand for the CCO.

Anticipate

  • Reading the conditions ahead
Reads regulatory change and surfaces risk before it reaches you.
  • The compliance burden

The compliance burden is growing faster than the team

CCOs at broker-dealers and RIAs are asked to do more with the same headcount  while the cost of getting it wrong keeps climbing.

3,000+

  • FINRA & SEC rule changes and notices to track every year

$2.8B+

  • in industry fines and penalties levied in a single recent year

70%

  • of a compliance team's week lost to manual review and recordkeeping

1

  • missed disclosure or attestation can trigger a full-scope exam
  • How Compass works

From data sources to a defensible record

A single, continuous loop. Every pass through it leaves evidence behind.

01

Connect
  • Email / IM, trading, CRM, procedures, surveillance, relevant rules and filings flow in.

02

Monitor
  • AI watches activity against YOUR business model.

03

Detect
  • Anomalies surface, risk-scored and explained.

04

Act
  • Review, attest, escalate, or resolve in-app.

05

Prove
  • Every action becomes an exam-ready record.
Prove feeds Connect: the record produced by every action becomes the evidence base the next cycle reasons from.
  • Why Compass

The difference between software with an AI feature and a platform built on AI

Legacy Regtech Compass
AI bolted on as a separate chatbot AI native to every workflow
Tools stitched together One unified compliance system
Generic answers, blind to your WSPs Reasons from your firm’s policies
Manual exam prep and recordkeeping Exam-ready records, generated as you work
Alerts by volume, not by real risk AI-weighted risk scoring and triage

Legacy RegTechCompass
A chatbot bolted on in the corner, answering questionsAI inside every workflow , drafting, checking, and filing as you work
Six tools, six logins, and a spreadsheet holding it togetherOne system of record for the entire program
Generic answers, blind to your WSPsEvery answer grounded in your firm’s own policies and procedures
Exam prep as a fire drill  weeks reconstructing what you didAn exam file that builds itself, every day, as the work happens
Hundreds of alerts, ranked by nothingRisk-weighted triage  the alerts that matter surface first
AI output you have to take on faithEvery recommendation shows its sources and reasoning
See Compass in action