Communication Compliance Surveillance for Financial Advisors
Cut communication compliance surveillance time by 100% for Financial Advisors.
The Problem
Every email, text, and social message from a Wealth Management advisor is regulated — manual surveillance samples tiny fractions and misses real issues.
What We Build
AI surveils 100% of communications, flags anything that might violate rules (promises, performance claims, undisclosed gifts), and routes to the CCO — compliance risk drops, supervision cost too.
Tools & Integrations
How It Works
Discovery Call
We map your current communication compliance surveillance process and identify exactly where AI saves the most time.
Build & Integrate
We build the AI workflow and connect it to the tools you already use — no software changes required.
Review & Refine
You review the results, we fine-tune until the workflow matches your standards — then it runs on autopilot.
Frequently asked
How long does communication compliance surveillance take manually for financial advisors?+
In most wealth management firms, communication compliance surveillance consumes hours per matter or per week that AI can absorb. The exact savings depend on volume, but firms with mature workflows typically see 100% improvement within the first quarter after deployment.
Can AI handle communication compliance surveillance without losing accuracy?+
Yes — every workflow uses human-in-the-loop. AI does the deterministic 80% (data extraction, classification, routing); your financial advisor keeps every judgment call. Nothing ships without a defined approval point.
Will this require switching from Orion?+
No. The automation runs on top of your existing Orion setup using its API or agent integration — no migration, no parallel system, no license changes. Your team keeps using Orion exactly as before.
How quickly can a financial advisor team deploy this?+
Most engagements ship the first working workflow in 2–4 weeks from kickoff: discovery call → fixed-price scope → build → review/refine. After that it runs on autopilot, with us monitoring for drift.
Is communication compliance surveillance automation worth it for a small wealth management firm?+
If your financial advisors spend 5+ hours per week on communication compliance surveillance, the ROI is clear. The build pays back inside the first quarter at that volume — and the time savings compound, since the workflow keeps running once deployed.
What happens when Orion or our process changes?+
Workflows are versioned and monitored. When Orion pushes API changes or your firm changes process, we update the workflow within days — no rebuild required.
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Ready to automate communication compliance surveillance?
Book a free 30-minute call. We'll walk through your current process and show you exactly how this workflow would work for your team.