01The friction
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
02The intervention
What we changed
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
03The outcome
What changed
Compliance quality improved significantly, review times dropped, and the firm gained confidence ahead of its next FCA audit.
- 0%
- Cases now pre-screened before human review
- 0%
- Reduction in compliance review time
- Zero
- Compliance gaps found in follow-up audit
- 0hours
- 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.”