Compliance automation for regulated financial firms
Upload regulations and internal policies, extract obligations and policy rules, compare them and identify coverage gaps — then move findings into a structured register and generate board, committee and audit reports.
See RegRails.ai in action.
One connected workflow from regulatory change to clear action
RegRails.ai connects the steps that are often scattered across documents, spreadsheets, emails and manually prepared reports — so compliance work produces structured requirements, identified gaps, owned remediation and management-ready insight.
Regulatory change and document intelligence
Bring regulatory announcements, regulations and internal policies into a structured starting point for compliance execution. The dashboard surfaces regulatory announcements with jurisdiction and effective-date information, while the Document Center tracks uploads, document types, jurisdictions and extraction status.
- Regulatory announcements with jurisdiction and effective dates
- Regulation and policy document uploads
- Document type and jurisdiction fields
- Extraction status and processed-item counts
- A clear source record for the analysis that follows
A practical regulatory change management and compliance document workflow — without starting every review in a blank spreadsheet.
Regulatory obligations and internal execution policy
Turn dense regulatory and policy documents into structured requirements compliance teams can review, search and use. RegRails.ai assists with extracting regulatory obligations and internal policy rules, each retaining useful context such as category, severity, status and source reference.
- AI-assisted regulatory obligation extraction
- Category and severity classification
- Source references for traceability
- Internal execution policy rule extraction
- Search and filter functions for faster review
- Human review before conclusions are relied upon
Compliance gap analysis
Know which obligations are covered, where policy language is incomplete and which requirements have no matching internal rule. Teams create comparison sets grouping relevant policy and regulatory documents, then run a targeted analysis that distinguishes compliant, partial and gap outcomes.
- Targeted comparison sets
- Compliant, partial and gap classifications
- Matched-rule visibility
- Coverage scores
- Gap suggestions and recommendations
- Direct Add to Register workflow
Use RegRails.ai as policy gap analysis software to compare internal execution policies against regulatory obligations and identify gaps before an audit or incident forces the issue.
Turn findings into owned remediation
A gap is only useful when someone owns the next action. RegRails.ai moves identified findings into a structured Gap / Risk Register so teams can prioritise, assign, monitor and resolve remediation, with category, priority, status, ownership and due-date fields.
- Add findings from gap analysis to the register
- Set priority and status
- Assign an owner and due date
- Filter by status, priority and category
- Resolve, edit or remove findings
- Maintain a clearer remediation trail
Replace disconnected remediation spreadsheets with a compliance risk register linked directly to the obligations and policy gaps that created the action.
See the state of compliance execution
Give compliance leaders a consolidated view of work in progress, the gaps requiring attention and where exposure is concentrated. The dashboard brings together documents, obligations, internal execution policy, compliance score, obligations by category, recent activity and regulatory announcements, with a risk heatmap view for exposure.
- Compliance execution overview
- Regulatory announcements
- Compliance score and status
- Obligations by category
- Recent platform activity
- Risk heatmap view and domain-level indicators
Turn compliance work into management-ready reporting
Move from working-level analysis to structured reports for senior management, boards, compliance committees and audit preparation. Current report types include Compliance Committee Report, Board Compliance Pack and Audit Preparation Pack, viewable and downloadable from the reporting workspace.
- Compliance summary reports
- Compliance Committee Reports
- Board Compliance Packs
- Audit Preparation Packs
- View and download generated reports
- A retained record of previously generated outputs
Generate board compliance reporting and audit-ready compliance reports from the same workflow used to extract obligations, analyse policy gaps and track remediation.
Measure maturity, not just document coverage
Understand how the institution performs across key compliance, risk and governance dimensions, then focus improvement where it matters most. The maturity assessment includes an overall score and stage, an AI-generated summary, a dimension radar, individual dimension scores and prioritised improvement recommendations.
- Overall maturity score and stage
- AI-generated assessment summary
- Dimension radar
- Dimension-by-dimension scoring
- Prioritised improvement recommendations
- Reassessment to review progress over time
Use RegRails.ai for compliance maturity assessment, AI governance readiness and third-party risk readiness without separating the assessment from the underlying obligations, policies and gaps.
Maintain a traceable compliance workflow
Keep a clearer line from source documents and extracted requirements to policy rules, findings, remediation actions, assessments and reports. Audit Trail and User Activity modules support traceability and oversight across the workflow.
- Trace the compliance workflow from documents to reports
- Review audit trail and user activity records
- Retain generated reports and assessment history
- Support repeat reviews through Quarterly Review
Built around the compliance work teams already do
RegRails.ai connects the steps that are often scattered across documents, spreadsheets, emails and manually prepared reports — so the same work produces structured obligations, identified gaps, owned remediation and management-ready reporting.
Designed for regulated financial firms
RegRails.ai is designed for firms that face serious compliance expectations but do not want the cost and implementation burden of a heavy enterprise platform.
Human judgement stays in control
RegRails.ai uses AI to assist with extraction, mapping, analysis, recommendations and report generation. Compliance professionals remain responsible for reviewing outputs, applying judgement, confirming applicability and approving final conclusions.