SOPHIA OVERVIEW
CHANGING COMPLIANCE AS YOU KNOW IT
Meet Sophia, Your Digital Compliance Officer—Powered by Agentic AI
Sophia is not just another compliance tool—she’s your AI-powered digital employee, purpose-built for today’s most demanding compliance environments. Designed for Registered Investment Advisors (RIAs), Asset Managers, Hedge Funds, and Governance teams, Sophia brings intelligent automation to your most time-consuming and critical compliance tasks.
Key Features & Capabilities
Explicitly trained on financial regulations and guidelines, Sophia understands the complexities of compliance frameworks such as SEC, FINRA, and MiFID II, and applies this expertise across its functions.
Political Contributions - Alerts & Monitoring
Automated alerts for political contributions that may trigger compliance reporting requirements.
Social Media - Alerts & Monitoring
Real-time monitoring of employee LinkedIn changes to flag potential disclosure or regulatory impacts.
Compliance Reminder Management
AI-driven scheduling and reminders to keep track of critical compliance deadlines.
Regulatory Monitoring & Updates
Continuous monitoring of global regulatory bodies with customized alerts for relevant changes.
Industry Trend Analysis & Updates
Proactive analysis of industry news and trends that could affect your compliance posture.
Document Analysis and Information Gathering
Automated extraction of key information from documents to support compliance workflows.
Regulatory Form Filings – Preparation and Submission for Review
AI-generated drafts of regulatory filings ready for human review and submission.
Compliance-Related Client Inquiries and Submissions
Streamlined management of client requests and required compliance submissions.
Risk Assessment and Compliance Testing
AI-supported risk analysis and automated testing of compliance controls.
Built for Compliance. Ready to Scale.
Whether you manage $100M or $100B in assets, Sophia scales with your business, offering cost-effective automation that grows with compliance complexity.
Tech Stack
Model Development
- Proprietary fine-tuned language models
- Dense retrieval of regulatory data
- Supervised training on financial compliance tasks
- Model performance monitoring
- Continuous evaluation & refinement
Agent Framework
- Open LLM
- Orchestration using LangChain / LangGraph
- Autonomous agent workflow engine
- Custom agent code using Python
- Continuous evaluation & refinement
Security and Compliance
- Hosted in a virtual private cloud (AWS VPC)
- End-to-end encryption (in transit and at rest)
- Role Based Access Control (principle of least privilege)
- Continuous monitoring and alerting
- Audit controls and reporting
Ready to Transform Compliance?
Let Sophia handle the complexity—so you can lead with confidence.
Contact us today to schedule a demo and discover how Sophia can become your newest team member.
Tel: 954-382-3900
Email: sophia@pre8us.com