Your on-demand Digital Compliance Assistant
Built to work with you and always learning.
Designed specifically for Asset Managers and RIAs, she automates time-consuming, repetitive tasks across your compliance workflows.
Sophia integrates seamlessly into your team. She has her own email address and Slack/Teams identity, communicates like a real colleague, and delivers outputs in a decision-ready format so you can focus on high-impact decision-making, not grunt work.
Designed with Financial Regulations in Mind
SophiaIQ has been trained on the realities of today's regulatory environment from SEC and FINRA to MiFID II so it understands what your team is navigating every day.
Here's how it supports you
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.
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.
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.
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.
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.
Compliance isn’t failing because people aren’t trying—it’s failing because teams are buried under fragmented tools, manual processes, and an avalanche of regulatory data.
Sophia brings clarity by pulling everything together into one coordinated, audit‑ready system. She doesn’t just monitor political contributions, LinkedIn activity, and regulatory updates; she structures the data, highlights what matters, and delivers it to your team in a clear, actionable format.
With every step logged, every rule followed, and every task tracked to completion, Sophia turns complexity into clarity so your team can operate with precision and confidence.
Before Sophia
With Sophia
Sophia is built by professionals who’ve spent decades inside compliance teams handling the same manual processes, reviews, and regulatory deadlines your team faces every day.
Her design reflects real‑world experience, not theoretical AI models. From how reminders are triggered to how audit logs are maintained, every feature is purpose‑built to support how compliance teams actually work.
Backed by enterprise‑grade security protocols and designed to scale confidently across firms of any size.
Every feature is purpose‑built based on decades of compliance team experience, not theoretical models.
Sophia works with your team taking on complex, repetitive tasks so your compliance professionals can focus on high‑impact decisions.
She manages the process: sending reminders, tracking regulatory updates, organizing calendars, and delivering structured, decision‑ready outputs. Your team brings the judgment. Sophia brings the execution.
With Sophia, you move faster, smarter, and with complete confidence.