NEW YORK, March 11, 2026 (GLOBE NEWSWIRE) — Comply, a leading AI and SaaS provider of compliance technology and consulting for the financial services industry, today announced ComplyAI, a comprehensive framework designed to help firms operationalize responsible AI governance across their compliance programs.
“Compliance officers are being asked not only how AI supports their programs but how it’s governed,” said Michael Staton, CEO of Comply. “Every AI output must be explainable, validated, and defended. ComplyAI delivers that assurance — setting a clear standard for responsible AI oversight through expert guidance, transparent documentation, and practical controls aligned with regulatory expectations.”
As AI adoption accelerates across financial services, regulators are increasing scrutiny. The SEC’s 2026 Exam Priorities identify AI oversight, explainability, and governance as key examination areas. At the same time, Comply’s 2026 CCO & Compliance Leader Insights Report shows that nearly seven in ten firms are already using AI in compliance, yet only half have formal governance frameworks in place, revealing a growing readiness gap.
ComplyAI addresses that gap by operating alongside existing compliance processes, adding structured oversight, documentation, and expert guidance to support responsible AI adoption.
A Dual Approach to Responsible AI in Compliance
ComplyAI combines AI-enabled tools that accelerate compliance workflows and reduce redundant manual tasks with a structured governance model that helps firms document, review, and defend AI-enabled outputs under clear human oversight. This architecture is designed to improve output quality and accuracy, ensuring AI-assisted decisions remain verifiable, explainable, and regulator-ready.
On the software side, ComplyAI delivers AI-powered tools such as Policy Guide and Calendar Builder that streamline policy interpretation and task generation, enabling compliance teams to act more efficiently without sacrificing supervisory review.
- ComplyAI Policy Guide – A single-tenant, policy-bound intelligence layer grounded solely in a firm’s approved internal manuals and supervisory procedures. It delivers real-time, jurisdiction-specific guidance with configurable access controls and full source traceability, enabling compliance officers to provide accurate, explainable, and defensible answers.
- ComplyAI Calendar Builder – Automatically scans Policies and Procedures, Written Supervisory Procedures, compliance manuals, firm events, and Form ADV filings to generate structured compliance calendar tasks — reducing manual interpretation and operational gaps.
- AI Governance Task Library – Prebuilt compliance calendar tasks informed by Comply’s regulatory consulting expertise, designed to track firmwide AI governance, oversight, testing, and documentation requirements.
- AI Risk Assessment & Policy Templates – Structured tools to evaluate AI exposure and implement documented controls aligned with evolving regulatory expectations.
- Intelligent Policy Builder – Tools to create and update AI policies, continuously informed by regulatory developments and practical supervisory guidance from Comply’s consulting team.
- Annual AI Oversight Review Tools – Built-in documentation workflows to support supervisory review, performance evaluation, and audit readiness.
Expert Oversight, Embedded
ComplyAI Consulting Services operate alongside the platform to help firms implement AI governance in a structured and defensible way. Advisory support spans firmwide AI risk assessments and mock audits, governance reviews, technology procurement guidance, and education programs designed to strengthen employee understanding as regulatory expectations evolve.
Regulatory-Ready by Design
ComplyAI reflects Comply’s broader approach to responsible AI: clarity in documentation, confidence in oversight, credibility through expertise, and connection between technology and supervisory accountability.
“AI should strengthen compliance, not complicate it,” said David Bliss, Chief Product Officer at Comply. “ComplyAI was built to help firms manage AI with the same rigor they apply to every compliance process — accurate, auditable, and exam-ready.”
Available in Q2 2026, ComplyAI Policy Guide enables compliance leaders to benefit from AI innovation without sacrificing governance. ComplyAI Calendar Builder will be released later this year. For the latest updates and access to ComplyAI news and innovations, join the ComplyAI preview list.
Visit AI in Financial Services: What Compliance Needs to Get Right for on-demand access to Comply’s recent AI webinar.
About Comply
Comply is a global technology and services leader transforming regulatory compliance for financial institutions through AI-powered software, data intelligence, and expert advisory services. Trusted by more than 5,000 firms — including broker-dealers, insurers, investment banks, private funds, RIAs, and wealth managers — Comply enables organizations to move beyond reactive compliance toward proactive, risk-intelligent operations.
Comply combines deep regulatory domain expertise with advanced automation, machine learning, and integrated data solutions to deliver a unified platform that streamlines oversight and strengthens governance across the enterprise. Our technology empowers compliance teams to detect risk earlier, adapt to evolving regulations faster, and unlock operational scale with confidence.
With a relentless focus on innovation and client partnership, Comply is building the financial industry’s most intelligent and future-ready compliance ecosystem, helping institutions worldwide turn regulatory complexity into strategic advantage.
Media Contact
PR@Comply.com
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