AI Compliance Checker
Consistent, audit-ready compliance checks at scale
Key result
100%
Cases reviewed pre-submission
Measurable impact
100%
Cases now pre-screened before human review
65%
Reduction in compliance review time
Zero
Compliance gaps found in follow-up audit
4 hours
Saved daily across the compliance team
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.
- 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.
- 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.
100%
Cases now pre-screened before human review
65%
Reduction in compliance review time
Zero
Compliance gaps found in follow-up audit
4 hours
Saved daily across the compliance team
“The AI catches things that even experienced reviewers sometimes miss. It hasn't replaced our compliance team; it's made them significantly more effective.”
Compliance Lead
UK Mortgage Network
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