Automatically monitor regulatory updates to map to your internal policies, procesures and controls. Learn More
Automatically monitor regulatory updates to map to your internal policies, procesures and controls. Learn More

Financial Services

Firms Asset Management | Compliance.ai

Mitigate compliance risk

AI for asset management

compliance asset management

compliance in asset management

Benefits of Compliance.ai for Asset Management Companies

While working in financial services, your clients expect you to cultivate market value and optimize returns on their portfolio within investors’ acceptable risk profile. However, financial services companies now face widespread uncertainty and unprecedented challenges.

There is significant pressure on margins: investors often conduct their own data analysis and seek better value funds with lower fees, driving behavior to operate more efficiently and keep operating costs low.

The product landscape for investors has diversified and become much more complex with the arrival of robo-advisors and investing apps.

Ongoing economic volatility and an increasingly complex regulatory environment means that financial service companies find themselves facing more risk than ever before.

There are proactive and tangible steps that financial service firms can take now to help ensure their firms are set up to succeed. Professionals working in financial services are seeking to protect or increase competitive edge by adopting new operating models and technologies to reduce pressure on cost and capacity. The right Regtech technology will help forward-thinking asset managers to stay current not only with market trends but also constant regulatory change.

Compliance.ai delivers the market-leading regulatory change management solution (RCM) designed specifically for financial services.

Benefits of Compliance.ai for Financial Services

Deliver Transparency and Smooth Your Transition

Mitigate compliance risk by deploying an RCM command center to gain insight into the regulatory change management and compliance functions.

Leverage the industry’s proven and trusted implementation methodology to move away from manual processes and meetings to adopt standardized and repeatable regulatory change management processes aligned to your specific risk and compliance model.

Scan the Horizon and Filter Out Noise

For financial service companies, Compliance.ai automatically monitors regulatory updates from agencies such as the SEC, FINRA, UK-FCA, HK-MA, and EU-ESMA — but delivers only the content that is relevant to you.

The information also includes guidance on topics important to you — such as Broker-Dealer, BSA/AML, Cybersecurity, Privacy, and Securities — published by CFA, CFTC, FIA, NAAIM, NAIC, and SIFMA.

Analyze Impact and Take Action

Compliance.ai’s Requirement & Obligation Analysis feature relieves the burden of line-by-line analysis. Instead, we automatically identify a summarized list of relevant obligations for regulatory changes. The capability automatically highlights differences in regulatory content across jurisdictions and identifies obligations and requirements. Bring Your Own Content helps automatically map regulatory requirements to your internal controls, policies, and business processes to identify and analyze the changes needed to ensure compliance.

Initiate Workflows and Break Down Silos

Our intuitive workflow technology promotes collaboration and ensures that all activities are monitored and completed.

Compliance.ai improves budgeting and resource planning by helping managers get an accurate read of workloads and important deadlines.

Collect Evidence and Speed Audits

SEC and FINRA audits and exams are a fact of life, but findings and enforcement actions don’t have to be. Our solution automatically collects evidence that obligations have been met and delivers accurate, third-party-certified reports to provide auditors with the assurance they need.

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

Get the AI-powered, expert-managed regtech solution designed for financial services enterprises.

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