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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
View Insight Report
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
View Insight Report
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.

Pricing

AI compliance reviews that scale with your firm

Pay for what you use, no minimum checks per month.
Choose the level of support that fits your file review volume, compliance process and reporting needs.

Core

Completeness

Get instant insights on document completeness and empower your team.

£3 / check
  • Document categorisation
  • Missing data identification
  • Inconsistencies across documents
Book a demo
Most popular
Professional

Full Case Review

For firms that need a faster turnaround on file checking.

£10 / case
  • Everything in Core
  • AI File Review Tool
  • Custom compliance checklists
  • Individual case reporting
Book a demo
Enterprise

For larger organisations

Get in touch to hear about the enterprise options for BAT.

Custom pricing
  • Everything in Professional
  • Bespoke review frameworks
  • Advanced reporting outputs
Talk to us

* In order to use BAT AI, a standard BAT license is needed. A single standard license starts at £50 /month +VAT and grants access to the entire BAT platform.
** All prices shown are excluding VAT

Pricing

Compare human file checking against BAT AI.

See how your organisation can increase file checking coverage with the same team, or scale to 100% coverage at a lower monthly cost using BAT AI.

Your current workflow

Company cost without AI

Your current file checking coverage using human reviewers alone.

30 cases
Currently checked per month
Current coverage
10%
Current checker time
60 hrs
Cases reviewed
30 / 300
BAT AI

Your workflow with BAT AI

How many cases the same checker capacity could review with BAT AI support.

75 cases
Possible per month with BAT AI
New possible coverage
25%
BAT-assisted time per case
48 mins
Additional cases checked
+45 cases
Same team, more coverage
+45 more cases checked per month
Coverage increases from 10% to 25% using the same checker capacity.

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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Barnett Way, Barnwood
Gloucester, GL4 3GG
0560 306 9892

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