CMP Engine room · 5 desks · 15 agents

Compliance, Legal & Audit

Parses every rule, surveils every desk, gates every call agent-on-agent.

Regulatory compliance, market-conduct surveillance, legal, internal audit and regulatory reporting across a text-dense control function: large volumes of new rules, monitored messages and contracts. Agents parse, triage and decide; oversight and judge agents gate the calls.

How it runs

Agents parse each rule change and map it to the affected controls, triage surveillance alerts with documented rationale, abstract and redline contracts against the playbook, assemble audit evidence and exam responses, and track attestations to closure. Each call is re-derived and gated by an independent oversight or judge agent, and findings hand off agent-to-agent across desks.

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Regulatory Compliance & Change Management

3 agents

Tracks the global flow of new and amended regulation, interprets it, and maps obligations to the bank's policies, controls and owners.

Workflow · Horizon scanning → applicability assessment → obligation extraction → map to policies/controls → assign owners → track implementation, each stage gated by a judge or oversight agent.

Regulatory Change Parser

Parses incoming regulation into structured, mapped obligations.

Ingests every rule, consultation and enforcement action on publication, extracts the discrete obligations, and maps each to the policies and controls it touches. Persists an obligation register outside context and emits a change pack gated by an interpretation-judge agent before it commits.

Implementation & Attestation Agent

Drives mapped obligations to closure and tracks attestations.

Turns the obligation map into tasks, chases the owner agents, and tracks policy attestations to completion: what is read, what is overdue, what is open before the effective date. Builds an immutable attestation ledger as exam evidence and escalates to a compliance oversight agent, which gates closure.

Policy Drafting Agent

Drafts and updates policies and procedures from mapped obligations.

Takes a new or changed obligation and drafts the matching policy language: consistent with house style, cross-referenced to the obligation, and diffed as a redline against the live policy. A policy-owner agent gates the draft before publication.

Trade & Communications Surveillance

3 agents

Monitors trading activity and employee communications for market abuse, insider dealing, spoofing and conduct breaches; triages the resulting alerts.

Workflow · Alert generation (trade + comms models) → L1 triage → enrichment → disposition (close / escalate) → case creation, with conduct-risk escalations gated by an oversight agent.

Trade Surveillance Triage Agent

Front-line disposition of trade-surveillance alerts at scale.

Reads each market-abuse alert, reconstructs the order-and-execution sequence, pulls the trader mandate and the prevailing market, and dispositions clear noise with a cited rationale. Scores against the spoofing, layering, wash-trade and front-running typologies, escalates anything above a conduct-risk threshold to the surveillance oversight agent, and retains a full reconstruction trace.

Communications Surveillance Agent

Triages monitored e-comms and voice for conduct and information risk.

Reads the firm's email, chat and transcribed voice for conduct and information risk: off-channel dealing, MNPI leakage, collusion, harassment. Resolves lexicon false positives in context (a 'kill the trade' that is just a cancelled order), reasoning over the full thread and participants. Routes concern flags to the conduct investigation agent; never auto-dispositions a flag alone.

Conduct Investigation Agent

Builds the investigation packet on escalated surveillance cases.

Stitches trade reconstructions, comms threads and access logs into one coherent narrative of the conduct and why it may be abuse. Spawns parallel research sub-agents (trade, comms, access), merges them into a single cross-signal evidence board, and drafts a cited investigation packet gated by a senior oversight agent.

Legal

3 agents

Contracts and ISDA documentation, litigation support, and regulatory liaison: abstracting, papering, defending and corresponding across the bank's legal record.

Workflow · Contract intake → review/abstraction/redline → negotiation → execution; plus litigation discovery and regulator correspondence. Document-heavy, judge-agent-gated.

Contract Review & Abstraction Agent

Reviews, abstracts and redlines contracts against the playbook.

Reads a contract, pulls the key terms into a structured abstract, and redlines deviations from the bank's negotiation playbook with fallback language attached, across ISDA, CSA, NDA and MSA families. Persists the abstract outside context and passes the redline to the negotiating agent once a contract judge agent re-derives it.

Litigation & Discovery Agent

Supports litigation through document review and discovery.

Runs first-pass document review in discovery (relevance, privilege, key-document tagging) across millions of files, then builds the chronology and fact summary the litigation-strategy agent argues from. Borderline privilege calls are double-reviewed by a privilege-judge agent, and a supervising counsel agent gates the production set.

Regulatory Liaison Agent

Drafts and tracks correspondence with regulators.

Drafts responses to regulator letters and information requests: consistent with prior positions, cited to the record, and tracked against the deadline. Maintains the correspondence ledger and commitments register so each answer stays self-consistent with the last, and routes the draft through a legal-QA judge and a senior counsel agent before it sends.

Internal Audit

3 agents

The third line of defence: independent assurance over the bank's controls through risk-based audit planning, fieldwork testing and issue tracking.

Workflow · Risk-based annual planning → scoping → fieldwork (evidence + control testing) → findings → reporting → issue follow-up, with conclusions gated by a reviewing audit agent.

Audit Planning Agent

Builds the risk-based audit plan and scopes engagements.

Synthesizes risk assessments, prior findings, incident data and regulatory focus into a defensible risk-based audit universe and annual plan, then drafts the scope for each engagement. A chief-audit oversight agent gates the plan before it commits; the board audit committee holds the mandate.

Control Testing Agent

Gathers evidence and executes control tests during fieldwork.

Pulls the populations, draws the samples, fetches the evidence, and runs the control test, going full-population where the data allows. Documents the workpaper with tickmarks and exceptions noted, logs every step and evidence link for re-performance, and routes the conclusions to a reviewing audit agent that gates them.

Issue Tracking & Validation Agent

Tracks audit findings to closure and validates remediation evidence.

Watches every open finding, chases the owner agents, and on a remediation claim checks that the evidence supports closure. Bounces weak evidence back, escalates overdue findings with an aging report, and routes closure recommendations to a reviewing audit agent that signs them off.

Regulatory Reporting & Exam Management

3 agents

Produces regulatory reports and manages examinations … coordinating the firm's responses to supervisor information requests and complaint-trend reporting.

Workflow · Data sourcing → report production → reconciliation → submission; plus exam RFI intake → response assembly → review → delivery, and complaint-trend analysis.

Exam & RFI Response Agent

Assembles responses to regulatory exam and information requests.

Receives a supervisor's request list, decomposes each item, spawns workers to locate and assemble documents and data extracts in parallel, and drafts the response with a navigable index. Tracks against the deadline and routes the package through a counsel judge agent for privilege and scope review before anything leaves the building.

Regulatory Report Production Agent

Produces and reconciles periodic regulatory reports.

Sources the data, runs the report logic, reconciles to the books, and assembles the submission for periodic regulatory filings (call reports, transaction reporting, trade reporting). Traces each reconciliation break to its originating event, blocks the filing on a failed validation rule, and a second independent agent re-derives every submission before it files.

Complaint Trend Analysis Agent

Classifies complaints and surfaces conduct trends and root causes.

Reads every customer complaint, classifies it consistently against the taxonomy, and watches for the cluster that signals a systemic conduct problem. Emits an early-warning signal with root-cause leads and routes conduct-risk trend findings to the conduct investigation agent for action.