AI Compliance Checker

What was holding the brokerage back

A brokerage network with multiple advisers found that compliance quality varied significantly across the team. Manual compliance reviews were creating bottlenecks, and the firm had received regulatory feedback about inconsistencies in their file reviews.

• Compliance reviews taking 30–45 minutes per case
• Quality inconsistencies between different compliance reviewers
• Cases queuing for days waiting for manual sign-off
• Difficulty maintaining audit trails across multiple advisers

How Right Leap helped

Right Leap deployed an AI compliance checker that reviews each case against a comprehensive rule set derived from FCA requirements and the firm's own policies. The system highlights gaps, inconsistencies, and missing information before a human reviewer conducts the final check.

• Automated pre-screening of every case against FCA suitability requirements
• Checks for adequate income verification, affordability, and product suitability rationale
• Automated flagging of missing disclosures, research notes, or client declarations
• Structured compliance summary generated for each case — ready for auditor review
• Continuous learning from human reviewer feedback to improve accuracy

Measurable outcomes

Compliance quality improved significantly, review times dropped, and the firm gained confidence ahead of its next FCA audit.