Regulatory Compliance
Always audit-ready. Always in control.
BusinessOptix connects regulations, controls, and operations in a single view of how work is performed across every business unit and jurisdiction. Keep pace with changing requirements, demonstrate compliance with confidence, and provide auditors and regulators with evidence from the same trusted source.
Operations and compliance see the same work through different lenses.
Confirming how each control is actually carried out in the work takes manual effort, every time.
Controls that look right on paper may not work in practice. That gap is where failed audits, findings and fines come from.
Without seeing how controls fit together, new ones get layered on top of old ones, and the operation gets slower and more costly to run.
Working out what a new rule, system or reorganization means for your controls, and how best to respond, is slow and difficult.
Every audit, for every control, means gathering evidence of how it’s carried out all over again.
Adopting AI safely means being confident the whole process it joins is controlled, end to end.
Answer the big questions with one connected model.
Give operations and compliance the same picture to work from. See every connection between obligations, controls, processes, procedures and technology, in a single source of truth.
- Where controls are weak, missing or doubled up
- Whether you’re ready for the next regulatory change
- Which processes rely on manual controls
| Step | Jurisdiction | Risk | Issue | |
|---|---|---|---|---|
| Client onboarding | Verify identity | APAC | High | Gap |
| Vendor onboarding | Plan exit | EU | High | No control |
| Payment runs | Approve payment | UK | Medium | Duplicated |
| Trade settlement | Match confirmations | EU | Medium | Manual |
| Fee billing | Calculate fees | APAC | Low | Manual |
- Which step it sits on, who runs it and which systems it uses
- How it varies by business unit and jurisdiction
- How effective it is, from your latest assessment
- Which processes, steps and controls it affects, in each jurisdiction
- Where you’re already covered, and where there’s a gap
- How a proposed change would perform, tested before you make it
- Whether the process is controlled before and after the agent
- Where people stay in the loop
- How the agent performs against its design
- How each control was designed, and who signed it off
- Which processes, steps and procedures it’s linked to
- How it stood on any date, and any incidents logged and resolved
Each team gets its own lens on the same model.
Leadership
See your biggest exposures across the business. Know you’re ready for the next rule change. Adopt AI knowing it’s controlled.
Compliance
See how each obligation is met in the work. Know where you’re exposed before an audit finds it. Answer regulators from one model.
Risk
See where risk sits, across every business unit and jurisdiction. Spot controls that are weak, missing or doubled up. Simplify where controls overlap.
Operations and process owners
See the controls on every step you run. Know what a rule change means for your process, and test your response. Fix the right step when a control isn’t working.
Technology and AI
See which systems each control relies on. Know which controls a system change affects. Check that the processes your agents join are controlled end to end.
Audit
See how each control was designed, and who signed it off. Review the process as it stood on any date. Draw on what’s already held, every audit.
Enterprise-wide visibility and control, with the heavy lifting done for you.
BusinessOptix takes on the work of building the model from what you already have. Your experts get the tools to assess controls, test changes and act on what they find.
A model from what you already have
Procedures, registers and process maps become one connected model, ready for your team to review.
Gaps brought to the surface
Weak, missing and doubled-up controls are flagged across the whole model, for your experts to review.
Change tested before it’s made
See what a new rule touches, and simulate your response.
Audit-ready from day to day
Everything an auditor needs, for every control, held in one model.
Tell us where operations and compliance see things differently.
We’ll help you run, control and change the business from one model.