WEALTH_AGENT: LIVE IN PRODUCTION|COMPLIANCE & AUDIT

Compliance & Audit AgentCompliance Documentation & Audit Intelligence

Supports advisor teams with structured documentation, missing-context flags, and source-linked records — prepared for compliance review, not as a replacement for it. Advisors remain responsible for all review, approval, and decisions.

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Ideal for Compliance Officers
Compliance Review: Q3 Communications

Pulled 42 advisor-reviewed meeting notes, 15 CRM records, and related communications. Organizing into structured records for compliance review.

Compliance & Audit Agent

Documentation review complete. 1 item flagged for compliance officer review. Source-linked records prepared and staged for approval.

Review Flag: Missing Context

Disclosure note not found for prospect interaction ID #8492. Flagged for compliance officer review.

Record Prepared

Source-linked documentation record prepared and staged for review: q3_review_week12.pdf.

Review-Ready
Structured documentation for advisor approval
Source-Linked
Every record tied to its origin
Always
Missing-context flags for compliance review
Before & After

The old way vs. the SarvaX way.

Preparing for a documentation review or audit without SarvaX.

Traditional Way

DocumentationReconstructed manually from email, CRM, and notes — days of work
Missing contextDiscovered during review preparation — often too late to address
Record assemblyAssembled from fragmented sources under time pressure
Compliance timeHours of manual record-gathering per review cycle
Advisor confidenceUncertain whether records are complete

With Compliance & Audit Agent

DocumentationAssembled from advisor-reviewed records — structured for review
Missing contextFlagged as part of routine documentation review — ahead of time
Record assemblyStructured, source-linked records maintained on an ongoing basis
Compliance timeCompliance officer reviews flagged items and approves prepared documentation
Advisor confidenceStructured record available for each client interaction

Output Example

Documentation Support Record — Q3 Review
Client Interactions42 meetings documented with source-linked records
Context Flags (3)Items flagged for compliance officer review
Follow-up RecordsAction items and outcomes recorded per meeting
Audit Trail SupportStructured log prepared for advisor/compliance review
StatusStaged for compliance officer approval — not auto-filed

* Example output. Actual content varies by firm configuration and data sources connected. SarvaX does not provide legal, regulatory, or compliance advice.

The Problem

Manual compliance is reactive, time-consuming, and risky.

Audit preparation is stressful. Advisors often miss required disclosures or documentation, and there is no unified audit trail across fragmented systems.

!ISSUE 01

Time-consuming and error-prone documentation

!ISSUE 02

Reactive and stressful audit preparation

!ISSUE 03

Advisors missing required disclosures

The Solution

Meet the Compliance & Audit Agent.

Supports documentation discipline after the work is done. Prepares structured records from advisor-reviewed meeting notes, flags missing context, and organizes source-linked documentation for compliance review.

PERFORMANCE METRICS

Documentation

Review-ready

Context Flags

Continuous

Advisor Control

Human-first
How It Works

Validate and protect. Automatically.

Transforms interactions into compliant records.

STEP 01

Pull advisor-reviewed meeting notes, CRM records, and communications

STEP 02

Organize inputs into structured interaction records

STEP 03

Prepare structured records for compliance review

STEP 04

Flag missing context and incomplete documentation

STEP 05

Generate source-linked records and audit trail support

STEP 06

Stage documentation for compliance officer review

PIPELINE: COMPLIANCE_AUDITLIVE
> DOCUMENTATION_REVIEW
    → Ingest_Agent [pulls advisor-reviewed notes, CRM records & docs]
    → Structure_Agent [organizes communication records for review]
    → Context_Flag_Agent [flags missing context & incomplete documentation]
    → [HUMAN_REVIEW: compliance officer reviews flags]
    → Record_Agent [generates source-linked audit trail support records]
> DOCUMENTATION_STAGED_FOR_REVIEW
Capabilities

What the agent does.

01
01

Structures

Advisor-reviewed meeting notes, communications, and decisions into organized records.

02
02

Flags

Missing context, incomplete documentation, and items requiring compliance officer review.

03
03

Links

Every record to its source document — so reviewers can verify what was said and when.

04
04

Prepares

Audit trail support files, client interaction records, and documentation staged for advisor approval.

Guardrails

Safe execution. Strict policies.

The Compliance & Audit Agent operates as a validator and protector. It strictly monitors and logs, escalating to human officers for decisions.

Structured documentation records — source-linked and reviewer-accessible.
All outputs staged for compliance officer review before any action.
Flagged items require human review — the agent does not resolve them.
No regulatory interpretation — SarvaX does not make compliance judgments.
Encrypted data handling. Advisor-controlled access.