The problem
Each deal file needs ID verification, receipt-of-funds records, signed forms and timely trust deposits. Reviewing them by hand is slow, and one missing record is a compliance risk.
What we build
- Checks FINTRAC ID and receipt-of-funds records
- Flags missing signatures and forms
- Watches trust-deposit deadlines
- Managing-broker review queue and pipeline dashboard
Estimated impact
~45 → ~10 min
Target for compliance review per deal file — a planning estimate we confirm with your own files.
People stay in charge
The managing broker stays responsible for sign-off. The checker flags what’s missing; people decide.
How we get you there
- Streamline the process before adding technology.
- Capture the right data in one trusted place.
- Simplify the tools so they share the same data.
- Automate with AI, with your approval on decisions that matter.
- Run self-sufficient — with a system you can run and improve.
Questions
Does it replace our compliance officer?
No. It does the first check on every file so your broker or compliance lead focuses on exceptions.
Which forms does it check?
We configure the checklist to your brokerage, province and regulator requirements.
Want your team to run it confidently? See AI fluency training or browse all use cases.