Compliance & Policy Assistant
Directive & Compliance Assistant: Instant, Verified Answers to your Policy Questions
Increase operational efficiency and empower every employee with an AI-powered co-pilot that turns your internal policies, FINMA circulars, and global regulations into a 24/7 conversational assistant. Swiss-hosted, GDPR-ready, with end-to-end encryption and data residency in the DACH region.
Policy & Compliance Assistant for Finance & Insurance
In banking and wealth management, front-line staff lose valuable time each day because they’re uncertain whether a specific client request or transaction is permitted under cross-border, FINMA / SEC and internal policy rules. Every call to Legal & Compliance costs minutes. Every wrong decision can trigger multi-million-dollar fines and reputational damage.
Before
Bottlenecks and risk
- Searching PDFs, SharePoint, intranet sites to find the right rule or directive.
- Inconsistent interpretation across teams leading to uneven decisions and escalation loops.
- High risk of outdated guidelines and uncertainty about the latest version.
- No audit trail and delayed decision-making during client interactions.
After
Verified and traceable
- Ask in natural language and get an instant, citation-backed answer.
- Single source of truth — the same answer for every employee, every time.
- Always references the latest version and auto-alerts on policy changes.
- Full conversation log & answer link stored for FINMA and internal audit.
Instant policy Q&A
Automated guidance
Evidence & audit trail
How Teams Use the Compliance Assistant
Turn internal policies, directives, and regulations into a 24/7 conversational assistant — for front office, customer service, and compliance workflows.
Find Answers to Regulations
Directive Assistance
Customer Service Chatbot
Contract & Document Review
Automated Document Translation
Automated Risk Assessments
Compliance Monitoring & Guideline Checks
Core Capabilities
Instant Policy Q&A
- Retrieves the exact rule, circular or guideline in seconds (FINMA, EBA, internal policies).
- Delivers a plain-language answer with paragraph reference and short rationale.
- Cuts frontline research time by 50%.
- Turns policies and regulations into a 24/7 conversational assistant.
Automated Guidance
- Smart decision tree answers “May I…?” questions for any client, product, or jurisdiction.
- Flags edge cases and routes only true exceptions to 2nd-line Compliance.
- Lowers legal and compliance review workload by ≈ 35%.
- Keeps interactions inside regulatory guardrails during real client work.
Evidence & Audit Trail
- Every answer is time-stamped, source-linked and user-attributed.
- Export for internal audits or regulator reviews.
- Full traceability reduces liability risk.
- Conversation logs and answer links can be stored for audits.
Compliance Checks
- Compliance monitoring for regulatory and corporate guidelines.
- Document auditing to detect inconsistencies and risks.
- Secure CID data handling for regulatory and corporate policies.
- Swiss-hosted, GDPR-ready security with encryption and data residency.
Built for regulated teams — fast answers, consistent decisions, and audit-ready traceability.
Results That Drive Impact
Replace guesswork and policy-hunting with instant, AI-powered answers. Our Compliance Assistant slashes research cycles, keeps every interaction inside the regulatory guardrails, and delivers a full audit trail at the click of a button.
90%
Less Time Spent on Research
Front-office and advisory teams get compliant answers in seconds instead of trawling 200-page manuals.
35%
Less Legal & Compliance Review Cost
Fewer questions escalate to 2nd-line experts, freeing them for truly complex cases.
100%
Hosted in Switzerland
Secure hosting in Switzerland for internal data.
50%
Cut Frontline Research Time
Retrieve the exact rule or guideline in seconds — and reduce manual policy lookup during daily client work.
Metrics reflect typical outcomes for policy Q&A and compliance assistant rollouts and depend on data scope, policy complexity, and rollout maturity.
Why Us
Deeply Integrates
in Systems
in Systems
CRM, ERP, SharePoint,
complex files
& more than 400 systems
Super Fast
Setup
Setup
Easy set up agents that
fully automates backoffice
processes within minutes
Immediate
Real Value
Real Value
Redefines back office
work and makes it
50% faster
Secure and
Compliant
Compliant
GDPR compliant,
EU / CH hosting,
security guardrails
Your Questions Answered
Clear answers to common questions about the Directive & Compliance Assistant.
What compliance regulations does dreamleap cover?
Your in-house policies, circulars and directives can be found within seconds. Additional regulations from FINMA, MAS, EBA, SEC, BaFin and EU AI Act requirements can be retrieved.
Is customer data processed outside Switzerland / EU?
No. All models run in a Swiss or EU Tier-III data-centre (or on-prem). Data never leaves your tenancy and is encrypted in transit.
Can we audit every answer the AI makes?
Yes. Each answer is stored with its source document, rule ID, confidence score and time-stamp — providing a full audit trail for internal or regulator reviews.
How long does it take to deploy the platform?
A typical pilot is live in 4–6 weeks: week 1 discovery, week 2–3 data & policy import, week 4 QA & go-live. Full enterprise roll-out follows a phased schedule.
Does the system support multilingual use?
Out-of-the-box it works in English, German (incl. Swiss German), French and Italian. Additional languages can be added via custom language packs.
Does the assistant stay up to date when policies change?
The assistant references the latest version of your policies and can auto-alert users on policy changes — helping teams consistently act on current guidance.
What kinds of questions can employees ask?
Employees can ask policy and directive questions in natural language (e.g., product limits, additional checks, cross-border constraints) and receive instant, verified answers grounded in internal policies, FINMA circulars, and relevant regulations.
