AI Compliance Review Agent

Compliance review is the same checks over and over, at a volume that climbs with every adviser using AI. A Compliance Review Agent checks each piece of marketing and advice against your policies and flags what needs a person. It clears the routine; the officer decides the rest.

Tecla builds and operates it in your environment, on your own communications and policies, under the controls your firm already answers to.

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The shift underway

AI has moved into advisory firms faster than the compliance controls around it, and examiners are now asking how it is supervised. The numbers show the gap firms are racing to close.

44%

of firms using AI have no formal testing or validation of its outputs, a live compliance gap.

Source: Ncontracts, 2026

$400k

in SEC penalties already levied on advisers for misleading AI claims in their disclosures.

Source: SEC enforcement, Delphia and Global Predictions

63%

of RIAs now use AI tools, which multiplies the communications a compliance team must review.

Source: Charles Schwab

How it works

How the agent works

Compliance review means reading every piece of marketing, correspondence, and advice against the rules, the same checks over and over, at a volume that grows with every adviser using AI. The agent clears the routine and routes only what needs an officer's judgment.

01

Intake

Collects the items that need review, marketing, social posts, client emails, advertisements, and advice, from the channels your firm produces them on.

Gathers the items
02

Policy Check

Reviews each item against your written policies and the rules that apply, from advertising and disclosure requirements to your firm's own acceptable-use standards.

Checks the rules
03

Claim Detector

Flags the language regulators focus on: performance claims, guarantees, misleading statements, and missing disclosures, so nothing risky reaches a client uncaught.

Finds the risk
04

Clear or Route

Clears the items that plainly meet policy with a documented rationale, and routes only the ambiguous or high-risk ones to a compliance officer.

Sorts the queue
05

Audit Trail

Logs every item, decision, and approval, so the firm holds the exam-ready record showing that AI-assisted work was supervised by a person.

Keeps the record

Human in the loop

The agent clears the routine and flags the rest, but a compliance officer makes every judgment call. Each decision is documented, so the firm can show an examiner that AI-assisted work was supervised, not rubber-stamped.

Scoped to you

This is a typical compliance review build. The exact parts are scoped to how your firm runs: which channels produce reviewable content, your written policies, and where a compliance officer must sign off.

See what this would look like built around your portfolio operation.
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Related agents

How it reaches production

Built, run, and owned, one phase at a time

A compliance tool that clears content well in a demo can still miss a misleading claim on a real post. A scoped brief, a named team, and someone accountable at each stage are what make this one safe to rely on.

Sprint

Scope, fixed price

We map the channels that need review, your written policies, and where an officer signs off, then return a plan and a price before you commit.

AI Solutions Lead
Build

Built into your environment

Senior engineers assemble the agent inside your environment, wired into the communication channels and policy library your compliance team already works from.

AI Systems Lead
Run

Monitored and improved

The agent adapts as rules and firm policies change, and we report against the metrics set at scope: items reviewed, risky claims caught, review turnaround time.

Systems Lead + Engineers
Own

Yours, improving

The system is yours to keep, and it stays current as regulations and your policies evolve rather than enforcing last year's rules on this year's content.

Your team

It starts with a fixed-price Tecla Sprint that scopes and prices the build before you commit.

‍ Book a scoping call
How it holds up

Trustworthy enough to satisfy an examiner

A compliance tool that clears risky content is worse than none, because the firm carries the liability. What makes this one dependable is that it flags rather than guesses, documents every decision, and leaves the judgment to a person.

Reviewed by trajectory

Every decision is documented

Each cleared or flagged item carries the policy it was checked against and the rationale, so the firm holds a defensible record.

Human in the loop

It flags, the officer decides

The agent clears the plainly compliant and flags the rest, but a compliance officer decides anything ambiguous or high-risk. The supervision stays human, as regulators require.

Tuned over time

It keeps up with the rules

As advertising rules, disclosure requirements, and your own policies change, the agent is kept current, so reviews reflect the standards in force now.

Start the build

Clear the compliance queue, keep the judgment

A scoping call maps your meeting workflow and returns what the agent would handle, how success gets measured, and the fixed-price Sprint to build it.

Talk to us

Fixed-price AI Systems Sprint. No commitment until scope is confirmed.

What compliance leaders ask first

What is an AI compliance review agent?

It reviews the marketing, communications, and advice a firm produces against your policies and the applicable rules, clears what plainly meets standard, and routes the rest to a compliance officer. Tecla builds and operates it inside your environment, so review keeps pace with output while a person makes every judgment call.

How is it different from compliance software like SmartRIA or COMPLY?

Those give your team a compliance platform to work in; the agent does the reviewing. It reads each item, checks it against your policies, flags risky claims, and clears the routine, rather than leaving every review to a person. It connects portfolio and communication signals into the documentation workflow you already run.

Does it approve or reject content on its own?

It clears the plainly compliant and flags the rest, but a compliance officer decides anything ambiguous or high-risk. Keeping supervision human is exactly what regulators require, so the agent documents its reasoning and leaves the call to a person.

How does it help with an SEC exam?

It logs every item, the policy it was checked against, and who approved it, so the firm holds the exam-ready record showing AI-assisted work was supervised. Examiners are now asking for that documentation, and the distance between what firms have and what is expected is where the risk sits.

What does Tecla's compliance review build cover?

Tecla scopes the build to your firm: which channels produce reviewable content, your written policies and acceptable-use standards, and where a compliance officer must sign off. It runs inside your environment and Tecla operates it, keeping it current as rules change.

What kinds of content can it review?

Marketing, social posts, advertisements, client correspondence, and advice, checked for performance claims, guarantees, misleading statements, and missing disclosures. As more advisers use AI, the volume of reviewable content grows, which is where automated first-pass review earns its place.

How is our data kept secure?

The agent runs in your environment, integrated with your systems, under your own access rules. Communications and policy data stays within the boundaries your firm already answers to, and you own and control the system Tecla operates.

How long does a build take?

It starts with a fixed-price Tecla Sprint that scopes and prices the build before you commit. The Sprint maps your channels, policies, and sign-off gates, so the agent that follows fits how your compliance team actually reviews.

We have a compliance team already. Where does the agent fit?

It clears the high-volume routine review so the team spends its time on genuine judgment calls, not the twentieth disclosure check of the day. Tecla builds and operates it alongside them, with a documented trail on every decision.

How do we get started?

A scoping call maps your compliance review workflow and returns what the agent would clear, how success is measured, and the fixed-price Sprint cost. Book a scoping call with Tecla to start.

Have any questions?
Schedule a call to discuss in more detail.
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