ComplianceIQ. Automated SEC and FINRA review, across every communication channel.
A custom compliance review system connected to the firm’s CRM. Reviews every email, voice call, SMS, and newsletter against twelve SEC and FINRA frameworks, and learns from the compliance team’s approve and reject decisions.
Frameworks
12 SEC and FINRA frameworks
evaluated against every
communication
Channels
Email, voice, SMS, newsletters,
and document uploads
Build duration
2 weeks from scope to live in
the firm's CRM
Review model
AI verdict, human review of
flagged cases, system learns
from every decision
Leg 01 · Scope
From a compliance bottleneck to a written scope, in seventy two hours.
The buyer is the Chief Compliance Officer of a US RIA running 50-plus advisors. Every advisor produces content in volume — newsletters, client emails, social posts, podcasts, video — and every piece is subject to principal review under FINRA Rule 2210, the SEC Marketing Rule 206(4)-1, and a stack of overlapping frameworks. Manual review by a small in-house team. Hundreds of pieces a week. The CCO carries personal regulatory liability for a process they could no longer humanly review. The lever was clear: scale marketing without growing the compliance team in lockstep.
Within seventy two hours of the scoping call, the written scope landed in the CCO's inbox. Three commitments anchored the build. The system would integrate directly with the firm's existing CRMs, not become a new place compliance reviewers had to log in to. The system would surface a verdict and reasoning per framework, not a single pass-or-fail. The system would learn from every approve and reject decision. What was scoped out: the AI would never auto-block or auto-approve, would never make calls about marketing tone or aesthetic, and would review against regulatory frameworks only.
Leg 02 · Build
Built into the firm’s CRM, not bolted on.
Two weeks from scope to live, processing real communications inside the firm’s existing CRM environment. The stack is named, not implied.
Pattern
Multi-channel communications review with human-in-the-loop learning
Every communication generated in the firm's CRM is automatically routed through ComplianceIQ before it leaves. Email drafts, newsletter templates, transcribed voice calls, SMS, and uploaded documents are all evaluated against the active compliance frameworks. The system returns a verdict per framework with cited reasoning. Flagged cases sit in a review queue. Approved cases are released. Every CCO decision feeds back into the system as training signal.
ComplianceIQ runs as a self-hosted system that connects via API to the firm's CRM environment. Triggered actions inside the CRM auto-evaluate any communication logged to a customer record or saved as a template. A web UI handles ad-hoc document uploads for in-depth analysis on materials that do not pass through the CRM. Voice content is captured via integration with the meeting transcription services the firm already uses.
Twelve SEC and FINRA frameworks, evaluated in parallel
The system evaluates every piece of content against twelve frameworks simultaneously. 10b-5 anti-fraud, Investment Advisers Act Section 206, DOL Fiduciary, SEC Marketing Rule 206(4)-1, FINRA Rule 2210, FINRA Rule 2111 suitability, Regulation Best Interest, Senior Investor Protections, Solicitation and Referral Fee Rules, Risk Disclosure Requirements, Fee Transparency, and Fair Dealing presentation standards. Each framework has its own evaluation logic, its own cited rule text, and its own threshold for flagging.
SEC Marketing RuleFINRA 2210Reg BI12 frameworks total
AI integration
Claude with retrieval over regulatory documentation
Claude evaluates every piece of content. Retrieval-augmented generation is layered over the source rule text, recent enforcement actions, and the firm's own approved and rejected examples. As the compliance team approves or overrides verdicts, the retrieval corpus updates with the firm-specific decisions. Over time, the system's verdicts converge with the firm's specific compliance posture, not a generic interpretation of the rules.
ComplianceIQ does not make the final compliance call.
It evaluates every piece of content against twelve SEC and FINRA frameworks, surfaces a verdict and the reasoning, and routes flagged cases to the compliance team for review. Every approve and reject decision feeds back as training signal. The CCO sets the policy. The system applies it consistently.
Human in the loop · Firm-specific learning · Self-hosted
Leg 03 · Launch
Live in the CRM, reviewing real communications.
ComplianceIQ went live inside the firm's CRM after a two-week build. Existing communication templates were processed on day one to establish a baseline. Triggered actions were wired into the CRM so any new communication produced by an advisor — drafted into a template or logged against a customer record — automatically routes through compliance review before it can be sent.
The web UI for ad-hoc document uploads was deployed alongside the CRM integration. Compliance reviewers can drag and drop a newsletter draft, podcast script, or marketing PDF and receive an evaluation against all twelve frameworks within seconds — verdict, reasoning, and cited rule text per framework. Communications evaluated automatically, surfaced to the compliance team only when flagged, approved or rejected with one click, and the system learns from every decision. The CCO sets the policy. The system applies it consistently, at scale, every time.
What’s next
Built and handed over.
ComplianceIQ is live in the firm’s CRM, processing real communications, learning from real compliance decisions. The engagement was scoped to deliver a self-hosted, firm-owned system. That is what was built and handed over. The firm runs the system. The system improves the more decisions the compliance team makes against it.
The architecture is built to extend. New compliance frameworks can be added as regulatory frameworks evolve. New communication channels can be wired in as the firm adopts them. New CRM integrations can be built on the same pattern, against any system with an API and triggered actions. For other firms in regulated industries with compliance review bottlenecks, the same engagement shape applies — and the build pattern is two weeks from scope to live.
Speak with the team.
Engagements are scoped privately. The team replies within one business day.
ComplianceIQ. Automated SEC and FINRA review, across every communication channel.
A custom compliance review system connected to the firm’s CRM. Reviews every email, voice call, SMS, and newsletter against twelve SEC and FINRA frameworks, and learns from the compliance team’s approve and reject decisions.
Frameworks
12 SEC and FINRA frameworks evaluated against every communication
Channels
Email, voice, SMS, newsletters, and document uploads
Build duration
2 weeks from scope to live in the firm's CRM
Review model
AI verdict, human review of flagged cases, system learns from every decision
Leg 01 · Scope
From a compliance bottleneck to a written scope, in seventy two hours.
The buyer is the Chief Compliance Officer of a US RIA running 50-plus advisors. Every advisor produces content in volume — newsletters, client emails, social posts, podcasts, video — and every piece is subject to principal review under FINRA Rule 2210, the SEC Marketing Rule 206(4)-1, and a stack of overlapping frameworks. Manual review by a small in-house team. Hundreds of pieces a week. The CCO carries personal regulatory liability for a process they could no longer humanly review. The lever was clear: scale marketing without growing the compliance team in lockstep.
Within seventy two hours of the scoping call, the written scope landed in the CCO's inbox. Three commitments anchored the build. The system would integrate directly with the firm's existing CRMs. The system would surface a verdict and reasoning per framework, not a single pass-or-fail. The system would learn from every approve and reject decision. What was scoped out: the AI would never auto-block or auto-approve, would never make calls about marketing tone or aesthetic, and would review against regulatory frameworks only.
Leg 02 · Build
Built into the firm’s CRM, not bolted on.
Two weeks from scope to live, processing real communications inside the firm’s existing CRM environment. The stack is named, not implied.
Pattern
Multi-channel communications review with human-in-the-loop learning
Every communication generated in the firm's CRM is automatically routed through ComplianceIQ before it leaves. Email drafts, newsletter templates, transcribed voice calls, SMS, and uploaded documents are evaluated against the active compliance frameworks. The system returns a verdict per framework with cited reasoning. Flagged cases sit in a review queue. Every CCO decision feeds back into the system as training signal.
ComplianceIQ runs as a self-hosted system that connects via API to the firm's CRM environment. Triggered actions inside the CRM auto-evaluate any communication logged to a customer record or saved as a template. A web UI handles ad-hoc document uploads. Voice content is captured via integration with the meeting transcription services the firm already uses.
Twelve SEC and FINRA frameworks, evaluated in parallel
The system evaluates every piece of content against twelve frameworks simultaneously. 10b-5 anti-fraud, Investment Advisers Act Section 206, DOL Fiduciary, SEC Marketing Rule 206(4)-1, FINRA Rule 2210, FINRA Rule 2111 suitability, Regulation Best Interest, Senior Investor Protections, and more. Each framework has its own evaluation logic and threshold for flagging.
SEC Marketing RuleFINRA 2210Reg BI12 frameworks total
AI integration
Claude with retrieval over regulatory documentation
Claude evaluates every piece of content. Retrieval-augmented generation is layered over the source rule text, recent enforcement actions, and the firm's own approved and rejected examples. As the compliance team approves or overrides verdicts, the retrieval corpus updates with the firm-specific decisions.
ComplianceIQ does not make the final compliance call.
It evaluates every piece of content against twelve SEC and FINRA frameworks, surfaces a verdict and the reasoning, and routes flagged cases to the compliance team for review. Every approve and reject decision feeds back as training signal. The CCO sets the policy. The system applies it consistently.
Human in the loop · Firm-specific learning · Self-hosted
Leg 03 · Launch
Live in the CRM, reviewing real communications.
ComplianceIQ went live inside the firm's CRM after a two-week build. Existing communication templates were processed on day one to establish a baseline. Triggered actions were wired into the CRM so any new communication produced by an advisor — drafted into a template or logged against a customer record — automatically routes through compliance review before it can be sent.
The web UI for ad-hoc document uploads was deployed alongside the CRM integration. Compliance reviewers can drag and drop a newsletter draft, podcast script, or marketing PDF and receive an evaluation against all twelve frameworks within seconds — verdict, reasoning, and cited rule text per framework. Communications evaluated automatically, surfaced to the compliance team only when flagged, approved or rejected with one click. The CCO sets the policy. The system applies it consistently, at scale, every time.
What’s next
Built and handed over.
ComplianceIQ is live in the firm’s CRM, processing real communications, learning from real compliance decisions. The engagement was scoped to deliver a self-hosted, firm-owned system. That is what was built and handed over. The firm runs the system. The system improves the more decisions the compliance team makes against it.
The architecture is built to extend. New compliance frameworks can be added as regulatory frameworks evolve. New communication channels can be wired in as the firm adopts them. New CRM integrations can be built on the same pattern, against any system with an API and triggered actions. For other firms in regulated industries with compliance review bottlenecks, the same engagement shape applies — and the build pattern is two weeks from scope to live.
Speak with the team.
Engagements are scoped privately. The team replies within one business day.
