Built around your compliance framework, not a generic AI summary
ComplyVault helps compliance teams define what should be captured from adviser-client meetings. The AI prepares a structured first draft, links key items back to transcript evidence and timestamps, and flags possible gaps for human review.
The AI workflow is standard. The compliance framework is configurable.
ComplyVault follows a consistent workflow: transcript in, structured audit pack out. What changes from firm to firm is the review framework: what should be flagged, how evidence should be categorised, what counts as a possible gap, and how the final audit pack should be structured.
What can be configured?
| Area | Examples |
|---|---|
| Meeting types | Annual review, onboarding, portfolio review, rollover discussion, retirement planning |
| Disclosure categories | Fees, conflicts, risks, limitations, product-specific disclosures |
| Firm-specific rules | If a rollover is discussed, flag rationale, alternatives considered and fee comparison |
| Output templates | Internal CCO review pack, client-ready PDF, STP-style audit pack |
| Review workflow | Adviser draft, compliance review, CCO final sign-off |
| Risk thresholds | Flag only high-confidence gaps, or flag more broadly for review |
| Jurisdiction | SEC/state RIA framework first, FCA/Consumer Duty if required |
| Retention and export format | PDF, CSV, TXT, ZIP and internal evidence log |
Example: Rollover discussion
If a meeting includes a rollover discussion, ComplyVault can be configured to look for the evidence points your compliance team expects to see.
- Client objective
- Alternatives considered
- Fee or cost discussion
- Risk discussion
- Recommendation rationale
- Agreed follow-ups
- Evidence of client understanding
ComplyVault flags evidence. It does not certify compliance.
ComplyVault does not decide whether a disclosure was legally sufficient. It identifies candidate disclosures, possible gaps and supporting transcript evidence. The CCO or compliance reviewer remains responsible for review, judgement and final sign-off.
Evidence-linked
Every important item is linked back to transcript snippets and timestamps.
Human-reviewed
AI output remains draft-only until reviewed, edited and finalised by an authorised reviewer.
Audit-ready
Finalised packs preserve the review trail, evidence links and documentation history.
Why configurability matters
Different firms have different policies, products, client types and review expectations. A generic meeting summary is not enough for compliance documentation. ComplyVault helps firms apply a repeatable documentation standard across meetings, advisers and client files, while still allowing the compliance team to define what matters.
See how your review framework could become an audit pack
Review a sample output and see how disclosures, risks, recommendations and follow-ups are linked back to transcript evidence.
Explore other capabilities on the features overview or the RIA compliance software page.