Automating
Put AI at the centre of your compliance function.
We use Claude to build compliance tooling for your firm — policy libraries, surveillance specifications, monitoring programmes, risk and control frameworks, SMCR maps and horizon tools. All linked, and built around your firm.
- Who it’s for
- CCOs and compliance leads who want the tooling they’ve been imagining, without a vendor project
- What you need
- A willingness to feed it your firm’s context, and a choice of where it is hosted
- How we engage
- Introductory ten-day engagements, then a build-out at your pace
What we build
Policy and procedure library
Harmonised, searchable and updated en masse when rules change.
Monitoring and testing
Plans generated from your risk profile, with outcomes captured and reported.
Risk and control assessment
Each risk tied to its control, policy, rule, activity and owner — and kept current.
Regulatory horizon
Rule changes and final notices turned into firm-specific impact assessments.
Regulatory operations
Surveillance, best execution and reporting workflows: ingestion, reporting and record keeping.
Training and trackers
Training built around your people and perimeter, and trackers for work in flight.
How it works
Step 1
Hosting
Usually hosted by us, with your documents staying in your SharePoint and cloud. Or built on your own cloud or on premises.
Step 2
Your context
We feed it your permissions, activities, policies and procedures.
Step 3
Build
Working tools, built and tested with your team in days.
Step 4
Hand over
Your team learns to work with it daily, then automate procedures with agents.
We build it for you.
Compliance software is built for the average firm, so it fits no firm exactly. The gap becomes manual work for your team.
A tool built from your permissions, activities and policies fits from the start, and can be changed the same afternoon you decide it should be.
James builds his own compliance tooling this way. It is compliance expertise applied through AI, rather than a generic AI consultancy.
Reg ADVantage RegTech
Oversight for the firms you answer for. Candour for your own.
The same approach, already built and hosted by us: two platforms built by compliance practitioners, with your documents staying in your own SharePoint.
SaaS · hosted by Reg ADVantage Candour powered by Reg ADVantage The compliance platform for your own firm: monitoring plan, policies, RCSA, surveillance, SMCR, the code of ethics, algo trading controls and the regulatory horizon, built for hedge funds, prop trading firms and market makers. See Candour →
SaaS · hosted by Reg ADVantage
Oversight
powered by Reg ADVantage
The operating platform for FCA principal firms and host AIFMs: AR oversight, fund approvals, evidence and the AR portal on one audit trail.
See Oversight →
Also built with AI, free to try: AI Compliance Workbench · FCA Regulatory Review · all software and tools
Questions firms ask
What does the AI actually do without supervision?
Nothing that needs a compliance judgement. AI builds, drafts, monitors and summarises; a person with regulatory expertise reviews the output and makes the calls. We also help you set the data governance boundaries before any firm data goes in.
How long before we see something useful?
Days, not quarters. Introductory engagements run for ten working days and are designed to leave your team with a working tool, not a slide deck.
Want to see it on your own firm?
Ten working days, remote, on-site or hybrid, designed to leave you with something your team will use.