Selected work / SEC regulatory compliance
Making recurring compliance work easier to run.
A regulatory-compliance firm had highly skilled employees spending significant time on repetitive preparation, research, retrieval, and administrative workflows.
The opportunity was not to replace the firm's core systems. It was to remove manual work around them.
The friction
Repetition was spread across the operation.
Recurring work was spread across reporting, regulatory research, calendars, diligence searches, and internal processes.
Employees repeatedly gathered information, reformatted it, moved it between systems, and prepared materials that followed similar patterns each time.
What changed
AI around the systems already in place.
I mapped the recurring workflows, identified the steps that could be reliably automated, and built AI-enabled processes around the firm's existing tools.
- Automated internal reporting processes
- Automated compliance-calendar meeting agendas
- Internal SEC lookup and regulatory-research tools
- Streamlined Anti-Money Laundering research
- Streamlined political-contribution lookups
- LLM training for staff
- Effective prompting and iterative project progression
- Token-limit awareness
- AI ethics and practical governance
Before / after
Less retrieval. More review.
Automation handles repetitive retrieval and preparation. People remain responsible for judgment and review.
Controls
AI where it helps. Human review where it matters.
The workflows were designed around clear boundaries, review points, and employee accountability rather than fully autonomous decision-making.
Result
A more scalable operating process.
The result was a more scalable operating process with less repetitive preparation and better use of the systems the firm already relied on.
Tools reused
- Existing reporting systems
- Microsoft tools
- Internal data sources
- Existing compliance resources
- LLMs and AI tooling