AI Compliance Monitoring Agent, Puerto Rico
Continuous compliance monitoring. Your compliance officer still decides.
For wealth-management and financial-advisor firms under Act 60 in Puerto Rico. The agent monitors communications and workflows against your policy, keeps an audit trail, and surfaces items for your human compliance officer to review and approve. It monitors; a person decides.
What the agent does
Monitors against your policy
Reviews communications and workflows for potential policy exceptions using rules your firm defines, so nothing depends on someone remembering to check.
Keeps an audit trail
Every review and flag is logged and timestamped, giving your compliance function a clear, searchable record.
Surfaces, never decides
It escalates anything questionable to your human compliance officer with context. The agent flags; a licensed person reviews and approves.
Reduces the manual load
The routine monitoring runs continuously so your team spends its time on judgment, not on scanning every message by hand.
A tool for your compliance function, not a replacement for it
Regulated firms cannot hand judgment to software, and we do not ask you to. This agent makes monitoring continuous and auditable, then puts every question in front of a licensed human. It runs on your own systems with access controls and a full activity log, and it never makes a compliance determination on its own.
The specific configuration is reviewed and approved by your own compliance and legal counsel before anything goes live. This page is informational and is not legal or compliance advice.
Start with an audit, then a bounded pilot
First, a Systems Audit maps your monitoring workflows and ends in a fixed quote. Then your first paid build is a bounded pilot, with your compliance and legal review built into the plan. Prove it on one workflow, then expand.
Frequently asked questions
What is an AI compliance monitoring agent?
It is a custom agent that continuously monitors your firm's communications and workflows against policies you define, keeps an audit trail, and flags potential issues for a human compliance officer to review. It supports your compliance function; it does not replace it or make compliance determinations on its own.
Does the AI make compliance decisions?
No. The agent monitors and surfaces items for review. Every decision that matters is made by your human compliance officer. It is a monitoring and audit-trail tool, not a decision-maker, and it is not a substitute for licensed compliance or legal counsel.
Is this appropriate for a regulated Act 60 firm?
It is built to support regulated wealth-management and advisory firms by making monitoring continuous and auditable. Because compliance obligations vary by firm and regulator, the specific configuration must be reviewed and approved by your own compliance and legal counsel before it goes live. This page is informational and not legal or compliance advice.
How is my data handled?
The agent runs on your own systems and data with access controls that limit what it can see and touch, and a full activity log. We scope data handling, storage, and access with you during the audit, and your counsel signs off before deployment.
How do we start and what does it cost?
Start with a Systems Audit that maps your monitoring workflows and ends in a fixed quote. Your first paid build is a bounded pilot: one workflow, one measurable outcome, about 30 to 45 days, with your compliance and legal review built in. Department builds start around $15,000 depending on scope, and the Autopilot retainer that runs and maintains the agent starts at $4,500 per month.
Make monitoring continuous. Keep the decisions human.
Start with a Systems Audit. The fee is credited in full toward your first build.
30 minutes. We map the monitoring workflow to automate first, then quote it, with your counsel's review built in.