Compliance Triage Agent

A mid-market financial services firm was drowning in inbound regulatory correspondence — hundreds of filings per week, each requiring classification, risk-scoring, and routing to the correct compliance officer. A five-person team spent 40+ hours weekly on triage alone, with a 36-hour average response time and a growing backlog of high-priority items being missed.

• 01Audited two months of historical filings to understand classification taxonomy and edge cases that humans actually disagreed on.
• 02Built a multi-agent pipeline: a classifier agent assigns category and risk score, a summariser agent produces a 3-line brief, and a router agent assigns to the right officer with full justification.
• 03Designed a deterministic guardrail layer — anything below the confidence threshold is escalated to a human, never auto-routed.
• 04Deployed an evaluation harness that re-scores 100 random filings weekly against human reviewers to detect drift before it matters.

• Triage time per filing dropped from ~12 minutes to under 90 seconds.
• Compliance officers reclaimed 40 hours per week — redeployed to actual investigations and policy work.
• Average response time on high-priority filings fell from 36 hours to under 4.
• Zero compliance incidents traceable to the agent in 6 months of production.