Compliance Assistant for Financial Advisors

Team Name: Compliance Assistant for Financial Advisors

Service: Automated Compliance Screening & Approval Acceleration

Pricing:

• Projects starting at $750
• Includes: Video walkthrough, README file, and full system setup
• Requirements: Airtable + Gmail account

Overview

Compliance Assistant for Financial Advisors automates the entire review process for advisory, brokerage, and investment-related documents — ensuring your content meets the standards of your governing bodies, state regulators, and firm-specific policies. Instead of waiting on slow manual compliance teams, this system pre-screens your materials instantly, flags risks, suggests compliant revisions, and accelerates the full approval cycle.

This isn’t a basic proofreading bot. It’s an AI compliance engine tailored for financial advisors, trained to analyze disclosures, suitability language, performance claims, marketing materials, onboarding documents, and more. It identifies regulatory pitfalls before a human ever sees the file — drastically reducing revisions and getting your content approved and published faster.

Core Mission

To remove bottlenecks in financial advisory compliance by delivering an intelligent, automated review workflow that speeds up approvals, reduces regulatory risk, and keeps advisors compliant without slowing down client acquisition or marketing output.

What Powers the Team

• n8n – Automates intake, routing, reminders, reviewer loops, and approval workflows.
• Airtable – Centralized tracking for document versions, compliance scoring, reviewer notes, and audit records.
• Gmail – Notification engine for submissions, approvals, and compliance alerts.
• Claude – Deep-reasoning AI trained to detect regulatory red flags, missing disclosures, performance claim issues, and suitability misalignments.

How It Works

Document Intake

The advisor uploads or emails a document.

n8n classifies it — marketing material, client communication, form update, educational content, etc.

AI Compliance Review

Claude scans for:

• Missing or incorrect disclaimers
• Improper performance representations
• Suitability issues
• Non-compliant language
• Regulatory gaps specific to the advisor’s jurisdiction and governing body

The system highlights problem areas and generates recommended compliant revisions.

Automated Routing

Airtable stores each version and tracks compliance progress.

Gmail sends automated alerts to internal reviewers or compliance officers as needed.

Approval & Publish

Once compliant, the system issues a sign-off, archives the document, and pushes the final version into your publishing or client-facing workflow.

Full audit history preserved for FINRA/SEC/state-level review.

Why It Matters

✅ Accelerates Compliance Approval — Cut multi-week reviews down to hours.

✅ Reduces Regulatory Risk — AI flags violations before they become a problem.

✅ Eliminates Bottlenecks — Advisors move faster without waiting on compliance backlog.

✅ Perfect for Repeatable Content — Marketing, newsletters, updates, client communications, and more.