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

FINRA enforcements decreased 70% over the past 30 days
SEC issued enforcements: $289,563,885 over the past 30 days
161 Final Rules go into effect in the next 30 days

65 Mortgage Lending docs published in the last 7 days

1460 docs with 2637 extracted obligations from the last 7 days

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


5953 new docs in pro.compliance.ai within the last 7 days

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All Courses > Platform Overview

Platform Overview

Introduction to Compliance.ai

This course is designed to provide a high-level overview of Compliance.ai and how we support the compliance, risk and legal teams of banking, financial services, and insurance companies.

Compliance.ai is a regulatory technology firm with a modern regulatory change management platform and process. The Compliance.ai platform provides a  centralized regulatory change management command center that helps automate and standardized regulatory change management processes for the entire enterprise.

Filter Out the Noise

Compliance.ai has developed one of the most robust search capabilities, allowing you to filter to receive a truly laser focused set of regulatory changes that are relevant to your business. 

As part of the onboarding process, you and your firm’s admin will establish a set of predefined filters (default filters) which will set the platform to hone in on regulatory agencies, document types, topics and concepts specifically relevant to your business. 

These dynamic filters provide a customized dashboard experience that allows you to focus on the regulatory change, approaching deadlines, and enforcement actions trends for the agencies most important to you and your business. You can even scan by topic, by key regulation, or even focus on concepts of concern.

When you need to conduct research, our comprehensive, yet straightforward search capabilities are ideal to help you filter out the noise.

Analyze the Impact

Now that you filtered your search to only the documents we need, the next step is to analyze the impact.

In a near-real time using our expert in the loop machine learning technology, Compliance.ai is able to extract this critical information including key dates, CFRs referenced, Docket ID, and even topics so that you can very quickly determine applicability. 

As a first step, you can review a concise auto summary of the document.


If you’re familiar with a previous version of the rule, use Changes to review revisions. Compliance.ai recognizes that there are multiple documents in the same docket and allows you to review the history of changes. 

Most importantly, you’re able to collapse these two versions together to see word by word, what was added in green and what was removed in red, all the way down to a single comma being added or removed, you can identify what changes have been made. 


To complete a more thorough review, our obligation extraction capability provides a great baseline for analysis. In near real-time, Compliance.ai automatically extracts and isolates obligations within the document, so that you can quickly review and determine relevance to your organization.


Our annotation tool is particularly helpful for anyone on your compliance, risk or legal teams who needs to provide guidance on risk or applicability of policies and procedures. You can use annotations to add key tags at the document level and at even a fragment of a document level as well as add comments. You can even search by your tags, which are unique to your organization. 


The platform’s automated workflow, task assignment and collaboration capabilities allow you to work within and across teams. Once you’ve determined the regulatory changes you’d like to monitor and track, you can establish alerts and attach them to customized workflows so that your team is automatically informed to take action on regulatory changes that need to be assessed. 

Tasks and workflows such as determining document relevancy, assessing level of risk, obligation review and updating policies can all be created in automated workflows and tracked throughout the regulatory change management process. 


Since every action in the system is tracked and time stamped, including when tasks were assigned, who completed them and when, what their responses were, and if there were changes, you can generate the appropriate reports for internal or external audits and exams. 

Compliance.ai also provides the capability to download regulatory change management reports in the form of an Excel file with an X.509 certificate as proof to the examiner that the report has not been altered. 

Full Transparency

The Compliance.ai Regulatory Change Management platform brings full transparency within your organization. Bringing insight, scalability, accountability and cohesion across the organization, teams, and down to the individual task level, Compliance.ai ensures that everyone stays informed, knows who needs to do what, what regulations need to be addressed and identifies gaps or risks. . 

Solution Partners

Understanding that implementing a cohesive Compliance program is a team effort, we’ve partnered with leading GRC solution providers: Pre-integrated connectors & capabilities that help you seamlessly leverage your investment in such solutions. Click HERE to see our full list of partners.

Industry Partners

Additionally, as part of our Expert Connection program, we’ve partnered with industry associations and consulting firms specializing in regulatory compliance to provide white papers, guidance and insights that help make much better sense of the regulatory changes and their impact on your organization. Click HERE to see our full list of partners.