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AI Compliance Checker

AI-powered compliance for regulated firms

A dedicated AI file checking tool desigend for FCA-regulated workflows, checking client files, finding missing information, highlighting review points and keeping compliance activity auditable.

Book your demo now See how it works
Fact Find - 92% Completed
Soft Facts Client Vulnerability Client Objectives Client Liabilities Client Income Client DOB Client Address Client Name Client Assets

Missing data

Client Expenditure
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Suitability Report - 100% Completed
ATR Wills Cancelation Rights Alternative Solutions Disadvantages Objectives Recommendation Recommended Provider Charges/Fees Risks

Missing data

View Insight Report
Recommended Illustration - 64% Completed
Ongoing Fees Initial Fees Client Name Client DOB Deposit/Initial Amount

Missing data

Client Address Client Nationality Client ID Premium
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BAT file check dashboard
BAT AI Compliance Dashboard
BAT document categorisation
Predicted grade: UNCLEAR
Predicted grade: Suitable
Predicted grade: UNSUITABLE

What it does

Increase file checking to 100%
AI compliance support for admin teams and paraplanners

Upload financial case files into BAT AI and give your team a faster way to check documents, identify missing information and prepare structured compliance reviews.

  • Checks whether mandatory documents are present.
  • Highlights missing information across financial case files.
  • Flags potential compliance review points for further assessment.
  • Creates a clearer record of what was checked, found and reviewed.
BAT AI File Checking List

How it works

Built around the way compliance teams review cases

BAT analyses uploaded case documents and turns them into structured compliance insights, helping your team move from raw files to focused case review faster.

1

Upload the Case

Add the client file and supporting evidence into BAT’s review workflow.

2

AI Analyses Documents

BAT automatically categorises uploaded files and identifies the information needed for compliance review.

3

Key Findings

BAT highlights relevant information, missing details and inconsistencies within financial documents.

4

Review the Case

Users receive a pre-filled compliance checklist with AI-generated insights to help officers complete reviews faster.

Flexible by design

Intelligence that adapts to your organisation

BAT AI includes a default compliance framework developed in partnership with IFAC, a specialised third-party compliance network. Every data point and checklist can be customised to reflect your organisation’s own policies, review process and compliance requirements.

Custom data points

Define the specific information BAT AI looks for across uploaded files, financial documents and supporting evidence.

Tailored checklists

Adapt review checklists to match your internal policies, risk approach and existing compliance workflows.

Real time reporting

Gather REG data, risk and file score reporting with the keyless crm which will populate from AI findings.

IFAC partnership

Review with expert human support

For complex compliance cases, BAT and IFAC provide a direct pathway to both AI-powered document analysis and specialist human review, helping organisations resolve difficult cases faster and with greater confidence.

Ready to see BAT AI in action?

Book a demo and improve your file checking to 100%

See how BAT AI helps compliance officers, admin staff and paraplanners review financial case files faster, highlight missing information and prepare structured compliance review points.

Book a demo

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