The platform ยท Compliance Command Center
One compliance and risk platform. GRC, ERM, transaction monitoring, KYC and screening on one record.
Compliance Command Center is the software our compliance officers work in. It holds the rules that apply to you, runs your screening and transaction monitoring, tests every control against every record, prices each gap and tracks it to closure, then signs the result so anyone can check it. You get it through a service, set up by a practitioner. There's no online account to open and no seat to configure alone.
Your business, read the way a regulator reads it.
- Regulatory weatherWhat regulators are focused on right now, matched to what you do.
- Peer enforcementHow regulators have treated companies like yours, and what it cost them.
- Reputational riskWhat enforcement records and the news say about you, your owners and your partners.
All three, dialed into your specific business.
Every part, one record
Click any circle to see that part.
Each part does a job your program already has to do. Because they share one record, a rule change reaches the controls it affects, a failed control becomes a priced finding, and a closed finding shows up in the board pack without anyone copying it across.
Command Center
- Regulatory inventory
- Regulatory change
- Control library
- Integrations
- Enterprise risk
- Risk register
- Screening and KYC
- Transaction monitoring
- Third-party risk
- Marketing review
- Policy management
- PEP screening
- SAR preparation
- Complaints
- Control testing
- Risk quantification
- Issue management
- Factor analysis
- Audit trail
- Board reporting
- Security and model risk
- Auditor workspace
- TARC
- Know
- Operate
- Test and fix
- Prove
The parts
What it does, in four groups.
Know
What applies to you, and what changed
- Regulatory inventoryEvery rule that applies to you, cited to its source, with an owner and a last-attested date.
- Regulatory change managementNew and proposed rules matched to your inventory, reviewed by a person and routed to the owner.
- Control library and framework mappingControl objectives mapped across frameworks, with the unmapped ones shown as unmapped.
- Data connectors and integrationsYour core, ledger and document systems connected, so evidence arrives without exports.
- Enterprise risk management (ERM)Risk appetite and key risk indicators, dollar exposure from real penalties, and a live read of what regulators are doing.
- Risk register and self-assessmentsEvery risk with an owner, scored before and after controls, with self-assessments, loss events and scenarios.
Operate
The controls you run every day
- Sanctions screening and KYC/KYBCustomers and businesses onboarded and screened against a written, change-controlled match policy.
- Transaction monitoring and case managementRules you can read and change under maker-checker, and a record of every check that ran.
- Third-party risk managementVendor and fintech-partner oversight on the interagency guidance, from diligence to exit.
- Marketing compliance reviewAds and landing pages checked against Reg Z, Reg DD and FTC and FDIC advertising rules.
- Policy managementPolicies drafted, versioned and approved, with drift from the rules they implement flagged.
- PEP screening and business verificationPolitically exposed persons and business verification on the same record as sanctions screening.
- SAR preparation and trackingSuspicious activity reports drafted, clocked and tracked through FinCEN's acknowledgement. You file.
- Complaints managementEvery complaint logged, classified, answered on time and tracked for patterns your examiner will ask about.
Test and fix
Every record tested, every gap priced and closed
- Automated control testingEvery control tested against every record in the period, with each exception listed.
- Compliance risk quantificationA dollar range on every gap, from penalties in real enforcement actions, or a plain refusal when the data is thin.
- Issue management and remediation trackingFindings accepted by you, run to a deadline, and closed only against evidence.
- Enforcement factor analysisThe legal factors regulators and courts weigh, applied to your facts and cited to the rule.
Prove
Evidence your board, bank and examiner can check
- Audit trail and signed evidenceEvery deliverable signed and time-stamped, and checkable by anyone you send it to.
- Board and regulatory reportingBoard and examiner packs built from live data. A section with no data says so.
- Security and AI model governanceSingle-tenant, designed to run with a local AI model, and a model governance statement for every deployment.
- Auditor workspaceA read-only workspace where your independent auditor reviews the evidence and records verdicts.
- TARC board-committee packsTechnology, Assessment, Risk & Compliance: your risk committee's own packs, with board and management tiers, sealed each quarter.
How it works
Rules decide. AI drafts. A person signs.
Software can check millions of records the same way every time. It can't be accountable for a judgment, and a regulator doesn't accept "the model said so". So the work is split three ways, and each part does only what it's good at.
- 01
Rules make every determination
Whether a rule applies to you, whether a control passed on a given record, whether a name matches a list entry: each is decided by written rules that give the same answer every time for the same facts. The rule behind each answer is on the record, so a reviewer can follow it.
- 02
AI reads and writes, and nothing more
Language models read documents and draft the words: summaries, narratives, first drafts of findings. They never change a determination. A sentence that cannot be tied to a cited source does not ship, and the engine says "we can't tell" rather than guess.
- 03
A practitioner reviews and signs
A forward deployed compliance officer with ten or more years of compliance leadership reviews what the engine produced, makes the judgment calls the rules leave open, and signs. The signature is a person's, and that person answers for the judgment in it, under the terms of your engagement.
Why the person matters
An examiner can question a person. They can't cross-examine a model. Every conclusion you rely on has someone behind it who can explain how it was reached, show the records it came from, and stand behind it when your bank or your regulator asks.
That's the layer between the engine and your regulator: the engine makes the work complete and repeatable, and the practitioner makes it accountable.
We publish the method, and the method page sets it out in full. The code, and the data we've built up, stay ours.
How the work is done
The audit you already buy, performed by an engine.
- Every record testedControls are tested against the full population of accounts and transactions, not a sample of twenty-five.
- Every requirement citedEach requirement the work runs against is cited to the rule it comes from, with the facts behind it labelled.
- Findings pricedFindings arrive priced in dollars, so remediation is ordered by what each gap is worth.
- A signed reportThe report is signed, and any reader can check that nothing in it changed after signing.
The stack it can replace
What it takes over.
Most programs under $10B run a GRC tool, a screening vendor, a monitoring system and a folder of spreadsheets. Here is what the platform covers, line by line.
| What you run today | What the platform covers |
|---|---|
| GRC platform | Regulatory inventory, control library with framework mapping, policy management with acknowledgements, issue management, risk acceptance and policy exceptions, board reporting. |
| Enterprise risk management (ERM) tool | Risk appetite and key risk indicators, a risk register with self-assessments, loss events and scenarios, dollar exposure from real enforcement penalties, regulatory weather and TARC board-committee packs. ERM Starter. |
| KYC and KYB onboarding | Business onboarding with ownership traced through layers, a published match policy, decision reasons and adverse-action notices. Identity checks run through the provider you choose. |
| Sanctions screening | Politically exposed person screening, adverse media and sanctions lists taken directly from the issuing authorities, with the evidence kept with every decision. |
| Transaction monitoring | Rules you can read, changed under maker-checker, with alert queues, investigations and a record of every check that ran. |
| SAR preparation | Draft reports, the 30-day and continuing-activity clocks, and a record of every filing decision, ready for you to file with FinCEN. |
| Regulatory change feed | New and proposed rules, reviewed by a person and matched to your inventory. |
| Vendor risk management | Diligence questionnaires, a vendor portal, SOC 2 review, periodic review and exit, on the interagency guidance. |
One engine, many rulebooks
The same model, in every domain we serve.
The engine isn't built for one kind of vertical. Each domain is a rulebook in the same platform, run by a practitioner who knows it. For anyone, from early-stage startups to enterprise organizations.
- Financial servicesBanks, credit unions, fintech and BaaS programs, and money transmitters.
- Information securityReadiness before your SOC 2 examination or PCI DSS assessment, with evidence collected once.
- Environmental and product compliancePackaging EPR in the US states and the EU, chemical registration under EU REACH and US TSCA, and EU sustainability reporting.
- Data privacyGDPR, CCPA and the other US state privacy laws, HIPAA privacy, and Brazil's LGPD.
- AI governanceThe EU AI Act, and model risk management for the AI and models you build or buy.
- Financial reporting controlsSarbanes-Oxley internal control over financial reporting, for public companies and those preparing to be.
- Operational resilienceThe EU Digital Operational Resilience Act and the New York cybersecurity regulation.
How you get it
Through a service, never on your own
Every customer starts with a service: an independent test, control testing, screening or one of the others. A practitioner sets the platform up on your data, and the parts you use are the parts that service needs.
Your data sits in its own single-tenant instance, and the platform is designed to run with a local AI model. Security and model governance covers the detail.
Plain English
What this is, and how anyone does it
Reference articles from our library, cited to the published rules and standards. No sales copy.
- ReferenceGRC (Governance, Risk and Compliance): Definition and FrameworksOCEG's definition and principled performance, the IIA Three Lines Model, the COSO frameworks, what GRC software holds, and the limits of a GRC program.
- CMSCompliance Management System (CMS): The CFPB FrameworkWhat a CMS is under the CFPB framework: board and management oversight plus a compliance program of policies, training, monitoring and audit, and consumer complaint response. How examiners assess it and how to build one.
- Field GuideAI Model Governance for Compliance: An SR 26-2 Field GuideWhat SR 26-2, the April 2026 interagency model risk guidance that superseded SR 11-7, requires, which AI compliance tools it covers, what validation means, explainability and the audit trail, the human in the loop, and the questions to ask any AI vendor.
Talk to a practitioner
Book a 15-minute chat with our founder.
A real conversation with a senior compliance leader, to see if there's a fit. Not a sales call, not a demo, no pressure.