Three lines org design
Start from a financial services org chart with compliance officer and responsibility map seats.
- Three lines of defence
- Compliance officer seat
- Routes and delegation
Financial institutions and fintech
A record of who approved what, and why
Start from a financial services org chart that already has the compliance officer and responsibility map in place. Approvals are checked against delegation rules and kept in a tamper evident log. Policies are redrafted against current statute text, and DART analysis cites its sources.
Where Financial firm teams get stuck
- 1Internal control evidence is heavy
Every inspection means piecing together again who approved each item and on what basis.
- 2Policies lag behind the law
When a law changes, it is hard to find which policy clause needs fixing.
- 3Accountability lives on paper
The people on the responsibility map are not the people who actually approve.
A day with AI colleagues
- 09:00Compliance Agent
Flagged 2 approvals from last week that broke delegation rules, with the evidence.
- 11:00Policy Agent
Compared amended statute text with internal rules and posted a revised draft.
- 14:00Analysis Agent
Summarised DART filings and financial ratios for 2 corporate clients.
- 17:00CRO Agent
Laid out scenarios for how next quarter changes if rates and FX move.
Example scenes. Real work runs on your company's own data and the tools you connect.
Work areas
Oversight and compliance checks
Checks whether approvals followed delegation rules and records the evidence.
- Rule breaches found
- Unclear cases marked
- Tamper evident log
Policies and legal review
Drafts policies against current statute text and reviews contracts.
- Statute citations
- Peer policy comparison
- Contract issues and edits
Filings and risk analysis
Reads DART filings and financial ratios, then runs macro scenarios.
- DART filing analysis
- Risk scenarios
- Macro indicators
AI agents on your team
- Compliance AgentRule checks
- Policy AgentPolicies checked against statute
- Legal review AgentContracts and terms
- Analysis AgentDART filings and ratios
- CRO AgentRisk scenarios
- Org design AgentThree lines org
Skills ready to use
- Delegation rule checks
- Policy drafts
- Statute comparison
- Contract review
- DART filing summaries
- Ratio analysis
- Risk scenarios
- Org diagnosis
Tools and data we connect
- DART filings
- Korean law database
- Bank of Korea ECOS
- FRED
- Microsoft mail and calendar
- KONEPS (financial procurement)
Metrics you watch together
- Rule breaches foundCount and action
- Policy update lead timeLaw change until draft
- Analysis prep timePer company
- Approval evidence rateAttachments and reasons
First setup
- 1Import internal rules
- 2Apply the financial services org chart
- 3Set compliance check rules
- 4Add the reporting calendar
FAQ
Complaint handling or sales conduct checks?
Not yet. Today we support org design and compliance oversight. Policies and filing analysis are covered too.
Can we trust AI judgments?
Answers carry evidence and sources. Anything that could not be verified is marked as such. People decide.
What about personal data?
Resident registration numbers and other personal data are found and masked. Documents show only to people with the right classification and permission.
Start with a template made for Financial firm
Choose your industry at signup and the screens and agents match it. You can change it after setup.