ComplianceBot — Regulatory compliance SaaS for fintech
AI deployment blueprint for Regulatory compliance SaaS for fintech. Automates compliance monitoring using Supabase, Slack, Gmail, Claude.
AI Readiness Score
Supabase provides structured data foundation, existing compliance data
Technical team can handle implementation, existing AI familiarity
Budget sufficient for proposed solution, ROI justifies investment
Clear repetitive processes in regulatory monitoring and document management
3-6 month timeline realistic for phased implementation
Good API coverage, existing Claude integration reduces friction
How This System Works
Architecture
Three-agent system providing comprehensive compliance automation: RegWatch Monitor for regulatory change detection, Audit Prep Assistant for documentation generation, and Policy Update Manager for maintaining current policies. All agents integrate with existing Supabase database and communicate via Slack.
Data Flow
RegWatch Monitor continuously scans regulatory sources, stores findings in Supabase, and alerts via Slack. Policy Update Manager consumes this data to suggest policy updates. Audit Prep Assistant pulls from the compliance database to generate audit packages on demand. All agents use Claude for intelligent analysis and content generation.
Implementation Phases
Establish automated regulatory change detection and alerting
Implement automated audit documentation generation
Add continuous policy maintenance and update suggestions
Prerequisites
- -Comprehensive mapping of applicable regulations
- -Structured policy document database in Supabase
- -Claude API access and usage policies
- -Slack workspace integration permissions
Assumptions
- -Regulatory sources maintain consistent data formats
- -Team capacity to review and approve agent recommendations
- -Customer audit requirements follow standard frameworks
- -Policy documents can be maintained in structured format
Recommended Agents (3)
How It Works
- 1Scan regulatory websites and feeds
Monitor SEC, FINRA, state banking authorities
Custom scrapers - 2Extract and categorize changes
Identify regulation type, effective date, impact level
Claude - 3Compare against existing compliance framework
Check against current policy database
Supabase - 4Generate impact assessment
Analyze potential effects on current practices
Claude - 5Alert compliance team
Send prioritized notifications with action items
Slack
Data Flow
Inputs
- Regulatory websites — New regulations and updates(HTML/RSS)
- Supabase — Current policy database(JSON)
Outputs
- Slack — Alert notifications(Message)
- Supabase — Regulatory change records(JSON)
Prerequisites
- -Regulatory data source identification
- -Claude API setup
Error Handling
Log and retry with exponential backoff
Queue for manual review
Integrations
| Source | Target | Data Flow | Method | Complexity |
|---|---|---|---|---|
| RegWatch Monitor | Supabase | Regulatory changes and impact assessments | api | low |
| RegWatch Monitor | Slack | Alert notifications | webhook | low |
| Audit Prep Assistant | Gmail | Bidirectional email processing | api | moderate |
| Policy Update Manager | RegWatch Monitor | Regulatory change data consumption | internal_api | low |
Schedule
0 9 * * 1-50 10 * * 1Recommended Models
| Task | Recommended | Alternatives | Est. Cost | Why |
|---|---|---|---|---|
| Regulatory change analysis | Claude Sonnet 3.5 | GPT-4 | $60/month | Superior reasoning for regulatory impact assessment and legal document analysis |
| Policy document generation | Claude Sonnet 3.5 | GPT-4 | $40/month | Better at maintaining consistent legal language and compliance terminology |
| Audit report compilation | Claude Sonnet 3.5 | Claude Haiku for simple reports | $30/month | Needed for complex compliance matrix generation and gap analysis |
Impact
What Changes
Quality Gains
- ✓Zero missed regulatory changes
- ✓Audit-ready documentation in hours vs weeks
- ✓Always current policy framework
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What's next?
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