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.
Adaptive Automation
Sophia performs tasks such as monitoring regulatory changes, drafting filings (e.g., ADV, 13F, Form PF), generating compliance reports, and surfacing risk insights—with minimal human intervention.
Customizable Workflows
Compliance teams can tailor workflows, logic rules, and review checkpoints to align with firm-specific policies and regulatory obligations.
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.
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
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