Intelligent Regulatory & Industry Monitoring
Continuously scans trusted regulatory and industry sources, tags updates by relevance, and summarizes impact so your team can act quickly.
Compliance Intelligence You Can Act On
At Sophia, we believe compliance should be a strategic advantage, not just a regulatory requirement.
Core Features
Decision‑Ready Output Generation
Delivers structured, documented findings with clear flags, risk categorization, and references ready for your team’s review and approval.
Compliance Calendar Orchestration
Tracks regulatory deadlines, schedules reminders, and updates task statuses in real time, ensuring nothing falls through the cracks.
Full Audit Logging & Traceability
Maintains a detailed, time‑stamped record of every action and decision path for complete transparency and exam readiness.
Seamless Integration with Existing Systems
Works within your current systems, compliance platforms, and document management tools using secure, role‑based access.
Automated Compliance Task Execution
Handles effort-intensive compliance tasks, like political contribution checks, LinkedIn monitoring, and calendar follow-ups, per your firm’s workflows
Use Cases
Political Contributions Monitoring
Tracks employee contributions across election cycles, flags thresholds per SEC rules and internal policies, and categorizes contributions as Red/Amber/Green based on your risk levels so you can prioritize what's most critical
Social Media Monitoring
Real‑time monitoring across the public social networks your team uses most. Sophia flags potential policy violations, captures evidence, and routes items for review so issues can be resolved quickly.
Compliance Calendar Management
Keep every filing, review, and attestation on track. Automatic reminders, owner assignments, and dependency tracking keep the calendar moving and all artifacts are stored for audit.
Regulatory Monitoring
Sophia tracks rule - making and guidance from the agencies that matter to you, then maps changes to impacted policies and proposes next steps for your program.
Industry Trend Analysis
Surfaces relevant market signals and narratives so you can anticipate changes before they arrive. Reports summarize what’s shifting and why it matters to your firm.