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Customer Onboarding Pre-triage

Customer Onboarding Pre-triage

Investment Portfolio Analysis

Investment Portfolio Analysis

Compliance and Regulatory Check

Compliance and Regulatory Check

Fraud Detection

Fraud Detection

Transaction Categorisation

Transaction Categorisation

Financial Product Recommendation

Financial Product Recommendation

News Article Summary

News Article Summary

Compliance Analyst

Compliance and Regulatory Check

This agentic task assesses financial transactions against regulatory requirements - critical for compliance monitoring agents. The task configuration outlines how to:

  • Monitor financial transactions and business activities for compliance

  • Evaluate adherence to regulatory frameworks and requirements

  • Detect potential compliance violations and risk patterns

  • Generate risk-weighted assessments of compliance issues

  • Produce structured compliance reports with remediation guidance


As a modular agentic task, it integrates with transaction monitoring systems and regulatory databases, enabling AI agents to execute systematic compliance assessment within existing risk management workflows. The task configuration includes outputs for transaction analysis, regulatory checking, and violation detection, adaptable across banking, insurance, and financial services requirements.

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Example outputs:

{
  "overall_compliance_status": "Minor Issues",
  "identified_issues": [
    "Late filing of suspicious activity report (SAR) for Transaction ID 1234",
    "Incomplete customer due diligence (CDD) for high-risk client (Client ID 5678)",
    "Potential conflict of interest in investment advisory services (Advisor ID 91011)"
  ],
  "risk_assessment": "The identified issues pose moderate risk. While not severe, they require prompt attention to ensure ongoing compliance and mitigate potential regulatory scrutiny.",
  "corrective_actions": [
    "File the overdue SAR within the next 24 hours",
    "Complete enhanced due diligence for Client ID 5678 within 5 business days",
    "Review and update conflict of interest policies, particularly for investment advisory services"
  ],
  "relevant_regulations": [
    "Bank Secrecy Act (BSA) - SAR filing requirements",
    "Anti-Money Laundering (AML) regulations - Customer Due Diligence",
    "SEC regulations on conflict of interest disclosures"
  ],
  "compliance_summary": "Minor compliance issues detected related to SAR filing, customer due diligence, and potential conflicts of interest. While not critical, these issues require prompt corrective action to ensure full regulatory compliance.",
  "reporting_recommendations": "Prepare an internal compliance report detailing the identified issues and corrective actions. Consider voluntary disclosure to relevant regulatory bodies regarding the late SAR filing.",
  "requires_immediate_action": false

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Investment Portfolio Analysis

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Fraud Detection

Fraud Detection