Automate Financial Compliance Checks with a Custom AI System

Small RIAs often rely on the compliance modules within their portfolio management software, like Orion or Black Diamond. These tools are rigid. They can flag basic keyword matches in emails but often cannot connect to a firm's payroll system to know that an advisor's spouse just became an executive at a company on the restricted trading list. This leads to a flood of false positives and missed violations, forcing the compliance officer to manually double-check every alert.

In practice, this means manual spreadsheet reviews. Consider a 10-person firm where a compliance officer spends the first week of every quarter reconciling data. They download trade blotters from Schwab Advisor Center, export employee payroll data from Gusto, and manually cross-reference everything against a restricted securities list in Excel. If an employee executed a trade for a client in a restricted stock, the violation might not be caught for 30 days, long after the settlement period.

The core issue is data silos. Custodian platforms, payroll systems, and communication archives do not talk to each other. Off-the-shelf software provides generic rule sets but lacks the deep, custom integrations needed to connect these disparate systems. The architecture of these platforms is not designed for the specific, nuanced compliance policies of an independent firm, leaving manual work as the only way to bridge the gaps.

The first step is a discovery call to map your specific compliance workflows. We identify every data source: custodian feeds from Plaid, employee trading portals, your payroll provider, and communication channels like Slack or email. Syntora audits your existing process to pinpoint the exact manual steps that cause delays and errors. You receive a technical plan outlining the data connections and the logic for the compliance agents.

Syntora would build a multi-agent system using Python and the Claude API. One agent would monitor transactions from custodian feeds in near real-time. Another agent would ingest your firm's compliance manual into a Supabase vector database, making it a reference source. A central 'reasoning' agent would use the Claude API to cross-reference transactions and employee data against the compliance rules, flagging potential conflicts. The system is built with FastAPI and deployed on AWS Lambda, ensuring each event is processed within 5 seconds.

The delivered system sends instant, detailed alerts to your compliance officer when a potential violation is detected. It generates a daily summary report with flagged activities and the specific rule citations. You receive the full source code in your GitHub repository, a runbook for maintenance, and a system that runs for under $50 per month in cloud costs.