AI Agents for Risks and Compliance

Your 24 x 7 AI Agent workforce to automate risk and compliance workflows in money industry.

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Modular Risk AI Agents
Data Enrichment AI Agents
Enrich risk target data

Enrich risk context of a risk target for further AI Agent classifications

Regulation Risk AI Agents
Classify listings by regulation risk policies

Check whether a listing violates regulatory risk policies with AI Agents.

Custom Risk Policy AI Agents
Build bespoke risk policy AI Agents

Build custom risk policy AI agents with your internal risk policies.

Scam Risk AI Agents
Analyze merchant scam signals

Gather merchants websites and digital presence to predict how likely this merchant is an money exit scam.

Regulatory Rule Collection AI Agents
Collect regulatory compliance rules

Collect compliance and regulatory rules from regulatory documents with AI Agents


    Human AI Knowledge Bases
    Regulation Databases
    Scam Patterns Database
    Human Feedback Data
    Your Knowledge Base
      Evaluate AI, Trust AI
      AgentMerchant URLScam RiskProhibited Business RiskCounterfeit RiskLast Date Checked
      Acme Risk AI Agent
      		repaircredit.com
      High
      High
      Low
      		Today
      Acme Risk AI Agent
      		nike.com
      Low
      Low
      Low
      		Today
      Acme Risk AI Agent
      		dropshipping.com
      Med
      Low
      High
      		Today
        Integrations
        REST API
        SQL API
        SALESFORCE CONNECTOR
        WEBHOOK
        MCP
        Business units are relying on a large number of long, complex documents
        • Assess risk in a complex commercial financing situation
        • Assess compliance rules based on the fund prospectus
        • Benchmark peer rate changes based on insurance fillings
        • Benchmark non-GAAP metrics in SEC documents
        Any data
        Agentic ontology building & analytics
        Protect Marketplaces, Fintechs, Banks 24 x 7
        Review Complex Regulated Products
        AI Agents review machine-labeled high risk product listing decisions.
        Identify Sophisticated Merchant Scam Patterns
        Avoid providing services to merchant who conducts regulated businesses or offer high risk services.
        Agentic Market Data Collection

        Industries
        Financial Data Provider
        Private Equity & VC 
        ‍

        Trusted by 10B+ AUM PE

        Scan the websites, product offering, prices, geographic location, and competitors with a simple task description.

        Shorten Lengthy Compliance Doc Reviews
        Extract compliance insights from credit documents and prospectus.
        Track Ever-changing Regulatory Landscapes
        Track regulation changes from government websites via compliance rule deep research AI Agents.


        Data. A
        Alternative unstructured data
        • Social Media, BBB, TrustPilot, Google Maps
        • Regional prohibited items policies
        • Search engines
        • Any website
        ROE AI Agents Family
        • Text/Image/Video AI Agent, Web AI Agent, Document AI Agent
        • Customizable LLM, customizable prompt
        • Connect with your own LLM
        SQL-Based Agents Workflow
        • Analyze unstructured data using SQL and AI Agents
        • SQL API and REST API
        • Naturally compatible with data pipelines like DBT, Airflow
        Business units are relying on a large number of long, complex documents
        • Assess risk in a complex commercial financing situation
        • Assess compliance rules based on the fund prospectus
        • Benchmark peer rate changes based on insurance fillings
        • Benchmark non-GAAP metrics in SEC documents
        Any data
        Agentic ontology building & analytics
        Investment Compliance Analytics
        Insurance Competitive Analytics
        Merchant Compliance Analytics
        Loss Data Analytics
        DocumentMetadataRisk SummaryCompliance Rule Validation 1Compliance Rule Validation 2
        Prospectus Fidelity
        		Management Fee...Management risks.........
        Prospectus Blackrock
        		Management Fee...Diversification risks.........
        Prospectus Fidelity
        		Management Fee...Management risks.........
        Structured Compliance

        Roe AI excels in processing large volumes of documents, including financial documents, prospectuses.

        Roe AI agents can carry the compliance rules and intelligently screen on hefty documents like human, significantly accelerates the time to compliance review.

        DocumentFilling DateNAICInsurance TypeROCRates
        GEICO Filings
        		Feb 10, 202435882Auto......
        Progressive Filings
        		Mar 5, 202424260Auto......
        AAA Filings
        		Jan 28, 202415539Auto......
        Insurance Filings Analysis

        By extracting quantitative structured and unstructured data like proposed rate adjustments, historical trends, and methodologies from insurance filings, Roe AI helps insurance companies keep up with the peer pricing competitive insights, approaching DOIs.

        WebsiteCopy InfringementGrammar MistakeOffsite TransactionViolate Rule XViolate Rule Y
        Tuppleware.com
        		FalseNoneFalseFalseFalse
        Tupplewares.com
        		TrueMediumTrueFalseTrue
        Tupplewareparty.com
        		TrueHighTrueTrueTrue
        Merchant Compliance Labeling

        ROE AI enables risks team define custom criteria to extract the risk signals from businesses web presence, and consolidate the signals back to the risk modeling.

        This dramatically accelerates time to high quality data labeling.

        DocumentDateLocationTypeSummaryRisks
        Call Transcript
        		Feb 10, 2024123 AveAuto......
        Email
        		Mar 5, 2024123 AveAuto......
        Call Transcript
        		Jan 28, 2024123 AveAuto......
        Loss Data Analytics

        ROE AI can analyze the emerging risks and trends from the unstructured loss data with AI Agents and data query.

        This allows carriers to better determine the pricing model and lose less money.

        Example - build a merchant risk scan workflow
        It just takes 3 steps
        Define AI Agent Behavior
        Run AI Agents on Websites via SQL
        Build a Sophisticated Risk Decision Workflow
        Step 1: Spin up AI Agents

        We have pre-built risk data templates for merchants. You can come up with your own template.

        There are many configurations for Web AI Agents, to suit your data team's most picky requirements.

        Step 2: Build workflows via SQL

        Run the AI Agents we created on a table of URLs via SQL.

        ROE AI SQL-based data infrastructure provides a high throughput solutions for unstructured data workloads.

        You're in production.

        ROE AI SQL is naturally scalable, your SQL code is your production workflow.

        Integrate with your bespoke data pipelines like DBT, Airflow, Snowflake, Databricks.

        Roe AI v.s Chatbot Solutions
        Roe AI
        Transparency in everything
        • Interrogate documents in raw format in your own prompt so that the integrity of the documents is preserved.
        • The intermediate SQL results are easily accessible.
        • 100% correct math based on SQL aggregation.
        Scale without sacrificing quality
        • Takes < 1 min to process a 100+ page document, without pre-indexing.
        • Massive parallel processing architecture allows interrogation of 10000+ docs within minutes.
        • Produce qualitative and quantitative answers that can be aggregated into higher-order, accurate insights.
        Chatbot Solutions
        Blackbox in everything
        • Black box parsing documents into text loses the document integrity and discards tables, charts, and images.
        • Black box on how and which files are retrieved.
        • The math done by the chatbot cannot be trusted.
        Quality degrades with more documents
        • Chatbots degrades with more documents. Poor in handling 100+ pages long documents.
        • Only < 5 files are allowed in the chat conversation. More files dramatically lower answer quality.
        • Only qualitative answers are produced, hard to be plugged into a financial model.
        Roe introduced a solution that converted complex investment data, often locked in unstructured PDF formats, into structured datasets, which saved us 50% operations.
        VP of Product
        A leading portfolio analysis fintech
        Read more
        Supercharge risk processes with AI, NOW.
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