227 Enforcement Actions in the U.S. over past 30 days

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FINRA enforcements decreased 70% over the past 30 days

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CME issued enforcements: $1,241,754.92 over the past 30 days

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161 Final Rules go into effect in the next 30 days

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26 Mortgage Lending docs published in the last 7 days

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1460 docs with 2637 extracted obligations from the last 7 days

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76 new Proposed and Final Rules were published in the past 7 days

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2774 new docs in pro.compliance.ai within the last 7 days

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Considering RCM Solutions?  Here’s an RFP to get started.

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Regulatory Change Management for the Financial Services Enterprise

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.

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 and identify obligations across jurisdictions and document versions. Map required updates to specific controls, policies, and business processes to understand 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.

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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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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 your 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

Basic START NOW Pro SCHEDULE DEMO Team SCHEDULE DEMO
Regulatory Intelligence
RCM Command Center 0 1 1
Personalized Dashboards 0 1 1
Custom Alerts 0 1 1
Weekly Summaries 1 1 1
Monitor Regulatory Changes 1 1 1
Real-time Content 1 1 1
Enriched Documents 0 1 1
AI-Powered Filtering 1 1 1
Regulatory Impact Analysis
Personalized Insights 0 1 1
Jurisdiction Analysis 0 1 1
Automatically Identify Obligations 0 1 1
Third-Party Expert Guidance 0 1 1
Annotation 0 1 1
Manage Changes
Automatically Assign Tasks 0 0 1
Repeatable Processes 0 0 1
Automatically Track Task Completion 0 0 1
Manage Workflows 0 0 1
Share Team Folders 0 0 1
Seamless Integration with GRC 0 0 1
Resource Planning 0 0 1
Certified Audit Reports
X.509 Certified Audit Reports 0 0 1
Configurable Reports 0 0 1
Export Data to Spreadsheets 0 1 1
Automatic Summarization and Pivot Tables in Spreadsheets 0 0 1
Distribute Reports 0 0 1
Enforcement Actions
Personalized Enforcement Tracker 0 1 1
Filter Enforcements by Meta Data 0 1 1
Enforcement Action Alerts 0 1 1
Include Enforcement Actions in Workflow 0 0 1
Proven Implementation
Business Profiling to Automate Configuration 0 1 1
Seamless GRC Integration 0 0 1
1:1 Training 0 1 1
Team Training 0 1 1
Basic START
NOW
Pro SCHEDULE DEMO Team SCHEDULE DEMO
Regulatory Intelligence
RCM Command Center
0 1 1
Personalized Dashboards
0 1 1
Custom Alerts
0 1 1
Weekly Summaries
1 1 1
Monitor Regulatory Changes
1 1 1
Real-time Content
1 1 1
Enriched Documents
0 1 1
AI-Powered Filtering
1 1 1
Regulatory Impact Analysis
Personalized Insights
0 1 1
Jurisdiction Analysis
0 1 1
Automatically Identify
Obligations
0 1 1
Third-Party Expert Guidance
0 1 1
Annotation
0 1 1
Manage Changes
Automatically Assign Tasks
0 0 1
Repeatable Processes
0 0 1
Automatically Track
Task Completion
0 0 1
Manage Workflows
0 0 1
Share Team Folders
0 0 1
Seamless Integration
with GRC
0 0 1
Resource Planning
0 0 1
Certified Audit Reports
X.509 Certified Audit
Reports
0 0 1
Configurable Reports
0 0 1
Export Data to Spreadsheets
0 1 1
Automatic Summarization and Pivot
Tables in Spreadsheets
0 0 1
Distribute Reports
0 0 1
Enforcements & Decisions
Personalized Enforcement Tracker
0 1 1
Filter Enforcements by Meta Data
0 1 1
Enforcement Action Alerts
0 1 1
Include Enforcement Actions in Workflow
0 0 1
Proven Implementation
Business Profiling to Automate
Configuration
0 1 1
Seamless GRC Integration
0 0 1
1:1 Training
0 1 1
Team Training
0 1 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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