Solutions for Compliance Teams
BAT is built to reduce the administrative burden of compliance while strengthening oversight, consistency, and regulatory confidence.
Guided by compliance professionals at IFAC and used in live advisory environments, BAT brings core compliance activity into a single, structured platform. It replaces manual, fragmented processes with clear workflows that support scalable and defensible oversight.
One platform for the full compliance function
BAT brings core compliance tools into a single operational hub, including:
- File Checking
- Financial Promotions
- Audits
- Enquires and Complaints
- Breach Registers
- T & C management
- CPD & Financial Exams
This removes the need to manage multiple systems, spreadsheets, and inboxes, and gives compliance teams a joined up view of advice activity across the business.
- Greater consistency across advisers
- Less administration, more time for client advice.
- Faster compliance approvals with less back-and-forth.
AI supported file checking at scale
BAT advocates for 100 percent file checking across the advice process.
Our AI powered file checking tool supports compliance teams by prechecking advice cases for completeness, cohesion, and material inconsistencies. This significantly reduces time spent on basic checks, while applying the same standards across every file.
AI is not a replacement for compliance judgement. It acts as a productivity and risk reduction layer, empowering teams to focus where oversight matters most.
Replace manual checking with structured oversight
Traditional compliance relies heavily on manual document reading, side by side comparisons, and repeated completeness checks. This approach is time consuming, inconsistent, and difficult to scale.
BAT removes this friction by structuring how advice cases and supporting documents are submitted and reviewed. Files arrive organised, evidence is attached to the correct advice, and discrepancies are easier to identify. Compliance teams spend less time searching for information and more time applying professional judgement.
Clear visibility across advice activity
BAT provides real time visibility across all advice cases.
Compliance teams can easily see what has been submitted, what is under review, what has been approved, and what remains outstanding. This reduces reliance on email updates, improves accountability, and allows managers to allocate workload proactively rather than reactively.
