Continuous
compliance checking and reporting, with each finding traced to the rule and the record that triggered it.
Agents that check operational records against regulatory and internal policy rules on an ongoing basis and draft the report a compliance officer signs.
- Industry
- Financial Services
- Segment
- Compliance
- Stage
- Develop Agentic Workflows
- Status
- Delivered
Regulatory Compliance Monitoring
The findings in three sentences.
- 01
Moving from sampled to continuous checking surfaced issues earlier, when they were cheaper to fix.
- 02
Traceability, not automation, was what compliance officers asked for first.
- 03
The rule library became an asset the institution owns and reuses across teams.
Client problem
What wasn't working.
- Compliance testing ran on samples, periodically, and the reporting took longer than the testing.
- Rules change faster than the checklists that encode them.
- Findings were hard to trace back to the exact rule and record, which slowed remediation.
Dviz solution
What we built.
- Built a monitoring workflow on Sorgi that maps each rule to the records it applies to and checks them on a schedule.
- Findings are drafted into a report with the rule, the record and the reasoning shown side by side.
- A compliance officer reviews, edits and signs every report. The agent never files on its own.
- When a rule changes, the affected checks are updated and re-run.
A working sketch of the system, with placeholder data.
Delivered on Sorgi
How the platform carried it.
- Scheduled routines that run checks without manual triggers.
- Officer sign-off checkpoint before any report is filed.
- Transparent execution: every step visible and auditable.
Outcomes
Continuous
Checks instead of periodic samples
100%
Of findings traced to a rule and a record
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