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Regulatory Change Management Software and System for Financial Services Enterprises

Compliance.ai is the only regulatory change management software that is designed to mitigate risk, reduce costs, and increase confidence in compliance status for the entire enterprise in the banking, financial services, and insurance industry. Our customers use Compliance.ai to automatically monitor regulatory updates, identify obligations, and ensure required changes are completed.

Learn how compliance teams save an average of 174 days of work each year with Compliance.ai.

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What is Regulatory Change Management?

Regulatory change management is the process of identifying, interpreting, and applying changes in the regulatory environment to your risk and compliance frameworks, underlying programs, and ultimately, to your operational environment and how you conduct your day-to-day business.

Regulatory change management is not only about new laws and regulations, but also changes to existing laws and regulations even when laws and regulations are relaxed or overturned.

Regulatory Change Management by Compliance.ai

Regulatory Change Management by Compliance.ai mitigates the risk of non-compliance by automatically monitoring the regulatory environment for updates, organizing and interpreting regulatory content, ensuring change tasks are completed, and providing real-time insight on compliance status.

Scan the Horizon

Regulatory Intelligence

Monitor changes in the regulatory landscape with real-time dashboards that automatically collect and analyze new regulatory content from the sources and jurisdictions that matter to you.

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Determine Next Steps

Regulatory Impact Analysis

Automatically highlight differences in regulatory content across jurisdictions and document versions and identify requirements and obligations. Bring Your Own Content: Automatically map regulatory requirements to your internal controls, policies, and business processes to identify and analyze the changes needed to ensure compliance.

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Automate Processes

Manage Change

Manage required changes by automatically assigning tasks to achieve compliance and mitigate risks. Monitor tasks, priorities, and workload across the organization and alert managers to overdue activities. Apply change management to regulatory changes, and use BYOC to apply consistent changes to your internal policies and procedures, while keeping your controls up to date.

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Speed Audits & Exams

Certified Audit Reports

Speed audit and exam preparation and improve results by using certified audit reports that automatically collect evidence of compliance as the team completes regulatory change activities.

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Monitor Enforcements and Decisions

Enforcement Action Alerts

Receive immediate notifications when new enforcement actions and decisions are issued. Alerts include complete information such as respondents and penalties issued by regulators.

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Introducing Compliance.ai Enterprise Edition

Regulatory Compliance and Risk Management for your internal policies, procedures and controls
Enterprise Edition is a regulatory compliance and risk management solution that applies purpose-built machine learning models to automatically monitor the regulatory environment for relevant changes and maps them to your internal policies, procedures and controls. These BYOC capabilities and its included role-specific dashboards make it a business critical solution for compliance professionals on risk, legal, audit, HR and compliance teams. Unlike status quo approaches that have proven to be costly, time-consuming and error-prone, Compliance.ai Enterprise Edition uses a patented expert-in-the-loop (EITL) machine learning approach that analyzes and enriches regulatory activities to help you continuously improve your compliance lifecycle. It reduces your regulatory risk and helps set up your compliance processes to support business growth.

Schedule a demo today to learn more!

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It’s time for a world-class regulatory change management solution.

Get the only AI-powered, expert-managed regulatory change management software designed for financial services enterprises.

Regulatory Change Management in the Digital Age

Financial services enterprises are overwhelmed with increasing volumes of financial regulatory information. The lack of automation for regulatory change management adversely affects the ability to be sure you are managing legal, risk, and compliance activities appropriately.

Legal, risk, and compliance teams can more easily achieve compliance by adopting regulatory change management software and automating regulatory change processes. Compliance.ai helps financial services enterprises mitigate risks, reduce costs, and gain confidence in their compliance status.

How does RegTech improve regulatory change management?

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Key Pain Point for Regulatory Change Management: Are Compliance Gaps Hiding in Your Spreadsheets?

Common approaches used by legal, risk, and compliance teams to identify and track changes — internet searches, spreadsheets, emails, and endless meetings — often fall short.

  • There’s a high risk of missing a new regulation or update from the complex web of regulatory agencies and jurisdictions.
  • It’s costly and time–consuming to review every new document — often only to discover that most of the updates aren’t relevant to the firm.
  • New obligations can get lost in spreadsheets and emails. This may result in findings during audits and exams — or even enforcement actions and decisions.
  • It’s easy to lose track of tasks to update policies and controls, so management can’t be confident in the firm’s compliance status.

Compare Editions

Pro TRY IT NOW Team TRY IT NOW Enterprise TRY IT NOW Developer TRY IT NOW
Pro TRY IT NOW Team TRY IT NOW Enterprise TRY IT NOW Developer TRY IT NOW
Regulatory Intelligence
RCM Command Center 1 1 1 1
Personalized Dashboards 1 1 1 1
Custom Alerts 1 1 1 1
General Weekly Regulatory Summaries 1 1 1 1
Personalized, custom Weekly Summaries 1 1 1 1
Monitor Regulatory Changes 1 1 1 1
Personalized, custom Monitoring Regulatory Changes 1 1 1 1
Real-time Regulatory Content 1 1 1 1
Auto-Translation (Offered Separately) 1 1 1 1
Global Regulatory Content (Offered Separately) 1 1 1 1
Enriched Documents 1 1 1 1
AI-Powered Filtering 1 1 1 1
Regulatory Impact Analysis
Personalized Insights 1 1 1 1
Jurisdiction Analysis 1 1 1 1
Automatically Identify Obligations 1 1 1 1
Third-Party Expert Guidance 1 1 1 1
Annotation 1 1 1 1
Manage Changes
Automatically Assign Tasks 0 1 1 1
Repeatable Processes 0 1 1 1
Automatically Track Task Completion 0 1 1 1
Manage Workflows 0 1 1 1
Share Team Folders 0 1 1 1
Seamless Integration with GRC 0 1 1 1
Resource Planning 0 1 1 1
Internal and Advisory Content Management
User defined attribute mapping for user-provided content 0 0 1 1
User defined attribute & permission editing post user-provided content upload 0 0 1 1
Web-based user managed processing/upload of user-provided content 0 0 1 1
User defined classifications, concepts and labels of user-provided content 0 0 1 1
Reporting of user-provided content upload process status/results 0 0 1 1
Automatic/scheduled processing of user-provided content 0 0 1 1
Automated Email based processing of user-provided content 0 0 1 1
Automated integration with DMS/PM: Sharepoint, Archer, Policy Hub, etc. 0 0 1 1
User based content/activity modeling (User content and activity classification) 0 0 1 1
Certified Audit Reports
X.509 Certified Audit Reports 0 1 1 1
Configurable Reports 0 1 1 1
Export Data to Spreadsheets 1 1 1 1
Automatic Summarization and Pivot Tables in Spreadsheets 0 1 1 1
Distribute Reports 0 1 1 1
Enforcement Actions (sold separately)
Personalized Enforcement Tracker 1 1 1 1
Filter Enforcements by Meta Data 1 1 1 1
Enforcement Action Alerts 1 1 1 1
Include Enforcement Actions in Workflow 0 1 1 1
Proven Implementation
Business Profiling to Automate Configuration 1 1 1 1
Seamless GRC Integration 0 1 1 1
1:1 Training 1 1 1 1
Team Training 1 1 1 1
Customization and Integration Capabilities
API Access to enhanced regulatory content 0 0 0 1
API/Service Connector based Task Management 0 0 0 1
Recurring synchronization (Import/Export) with 3rd party document management systems 0 0 0 1
API based Filtering 0 0 0 1
Transformation/Publication of enhanced content to GRC solutions 0 0 0 1
Pro SCHEDULE DEMO Team SCHEDULE DEMO Enterprise SCHEDULE DEMO Developer SCHEDULE DEMO
Pro SCHEDULE DEMO Team SCHEDULE DEMO Enterprise SCHEDULE DEMO Developer SCHEDULE DEMO
Regulatory Intelligence
RCM Command Center
1 1 1 1
Personalized Dashboards
1 1 1 1
Custom Alerts
1 1 1 1
General Weekly Regulatory Summaries
1 1 1 1
Personalized, custom Weekly Summaries
1 1 1 1
Monitor Regulatory Changes
1 1 1 1
Personalized, custom Monitoring Regulatory Changes
1 1 1 1
Real-time Regulatory Content
1 1 1 1
Auto-Translation (Offered Separately)
1 1 1 1
Global Regulatory Content (Offered Separately)
1 1 1 1
Enriched Documents
1 1 1 1
AI-Powered Filtering
1 1 1 1
Regulatory Impact Analysis
Personalized Insights
1 1 1 1
Jurisdiction Analysis
1 1 1 1
Automatically Identify Obligations
1 1 1 1
Third-Party Expert Guidance
1 1 1 1
Annotation
1 1 1 1
Manage Changes
Automatically Assign Tasks
0 1 1 1
Repeatable Processes
0 1 1 1
Automatically Track Task Completion
0 1 1 1
Manage Workflows
0 1 1 1
Share Team Folders
0 1 1 1
Seamless Integration with GRC
0 1 1 1
Resource Planning
0 1 1 1
Internal and Advisory Content Management
User defined attribute mapping for user-provided content
0 0 1 1
User defined attribute & permission editing post user-provided content upload
0 0 1 1
Web-based user managed processing/upload of user-provided content
0 0 1 1
User defined classifications, concepts and labels of user-provided content
0 0 1 1
Reporting of user-provided content upload process status/results
0 0 1 1
Automatic/scheduled processing of user-provided content
0 0 1 1
Automated Email based processing of user-provided content
0 0 1 1
Automated integration with DMS/PM: Sharepoint, Archer, Policy Hub, etc.
0 0 1 1
User based content/activity modeling (User content and activity classification)
0 0 1 1
Certified Audit Reports
X.509 Certified Audit Reports
0 1 1 1
Configurable Reports
0 1 1 1
Export Data to Spreadsheets
1 1 1 1
Automatic Summarization and Pivot Tables in Spreadsheets
0 1 1 1
Distribute Reports
0 1 1 1
Enforcement Actions (sold separately)
Personalized Enforcement Tracker
1 1 1 1
Filter Enforcements by Meta Data
1 1 1 1
Enforcement Action Alerts
1 1 1 1
Include Enforcement Actions in Workflow
0 1 1 1
Proven Implementation
Business Profiling to Automate Configuration
1 1 1 1
Seamless GRC Integration
0 1 1 1
1:1 Training
1 1 1 1
Team Training
1 1 1 1
Customization and Integration Capabilities
API Access to enhanced regulatory content
0 0 0 1
API/Service Connector based Task Management
0 0 0 1
Recurring synchronization (Import/Export) with 3rd party document management systems
0 0 0 1
API based Filtering
0 0 0 1
Transformation/Publication of enhanced content to GRC solutions
0 0 0 1

Unsure how to select the best regulatory change management solution for your firm? Our RFP Template can point you in the right direction.

Download RFP Template

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