Financial Services

Compliance infrastructure for regulated financial services.

From surveillance to AI governance — built for the regulatory frameworks your team already answers to.

Regulatory coverage

Built for the frameworks you already answer to.

SEC

SEC Rule 17a-4

Communication archiving & surveillance.

FINRA

FINRA Rule 3110

Supervision of registered representatives.

FCA

FCA SYSC 10A

Telephone and electronic communications recording.

MiFID II

MiFID II Article 16

Organizational requirements, communications records.

Use cases

What Compiled enables.

Pre-trade communication surveillance

Flag insider information sharing before it triggers a trade.

AI agent governance

Govern robo-advisory and algorithmic trading agents against your compliance policies.

Analyst wall enforcement

Detect when information barriers are crossed in communications.

Regulatory reporting

Deterministic audit trail: every verdict is reproducible and explainable.

The real-world test.

Compiled was trained on synthetic data, then tested blind against real SEC/DOJ enforcement communications and real Federal Reserve/earnings communications.

0 false positives

on legitimate financial communications

The detector that passed — 0.995 AUC — shipped.

Architecture for finance

Runs inside your perimeter. No messages leave.

Azure or AWS tenant deployment

Installs as a container into your cloud subscription. Your VNet, your controls.

Zero data egress

Messages are embedded and scored inside your environment. Nothing leaves.

HIPAA-ready patterns

Infrastructure patterns built for regulated industries.

24h incident notification SLA

Enterprise SLA with defined notification timelines.

0.995

Insider trading

AUC

0.996

Market manipulation

AUC

0.983

Prompt injection

AUC

Talk to our financial services team.

30-minute scoping call. We review your regulatory context, your current stack, and scope a pilot.