ComplyAI is an AI-powered compliance platform that automatically reviews financial communications against FCA, CBI, and SEC regulations. The tool analyzes emails, marketing content, and client documents, providing risk scores, issue explanations, and compliant rewrites with a full audit trail. It is purpose-built for regulated financial firms, offering secure, version-locked analysis that integrates internal policies.
Funding
Funding not disclosed
Founders
Product
Problem
Financial firms face significant compliance review bottlenecks when manually checking emails, marketing content, and client communications against complex regulations from regulators like the FCA, CBI, and SEC. This process is time-consuming, inconsistent, and prone to human error, creating regulatory risk and delaying time-sensitive communications.
Solution
ComplyAI provides a purpose-built AI compliance engine that automatically analyzes written financial communications against applicable regulatory rulebooks. Users upload text or documents, select their regulator and use case, and receive a detailed compliance score, issue breakdown, and AI-generated rewrite suggestions. The platform is fine-tuned on FCA, CBI, and SEC regulations, and can integrate a firm's private compliance documents into its knowledge base. Unlike general-purpose chatbots, ComplyAI delivers structured, audit-ready outputs with version-locked LLMs, ensuring consistent and repeatable analysis suitable for formal review.
Target Audience
Primary customers are compliance officers, marketing teams, advisers, wealth managers, and risk & governance teams at regulated financial firms that need to review client communications for regulatory compliance.
Features
- Fine-tuned on FCA, CBI, and SEC rulebooks, industry standards, and internal firm policies
- Generates structured compliance scores, risk categories, and actionable corrections
- Supports text input and document uploads (PDF, DOCX, TXT)
- Provides granular role-based permissions and strict organization-level data siloing
- Includes document hashing, automated data retention, and immutable analysis records for audit integrity
- Version-locked LLMs ensure consistent, repeatable outputs across reviews