Case Study: a regulated financial-advice firm automates monthly compliance file review with SoftBlues

Regulated financial-advice firm automates ~40 compliance checks per file with SoftBlues

SoftBlues worked with a regulated financial-advice firm to solve a major compliance challenge. The firm's compliance team was burdened by the slow, manual process of reviewing every client advice file each month, performing about forty mechanical checks per file under regulatory scrutiny. This was a significant drain on senior resources and carried a high risk of error.

The solution SoftBlues proposed was a four-stage multi-agent AI pipeline built using Microsoft Foundry and Claude. This system automates the extraction of file data, runs the mechanical checks with each finding cited to its source page, and assesses the suitability of the advice, all while running securely within the firm's own Microsoft tenant. A compliance reviewer retains final sign-off on the drafted review pack. This approach eliminates repetitive manual work while ensuring the process remains inspection-ready for regulators.