Auric Finance: Automated Compliance Document Processing for Financial Advisers

How a financial advisory firm automated the extraction of regulatory obligations, matched them against client portfolios, and generated audit-ready compliance reports.

The challenge

A licensed financial advisory firm with 40 advisers managed compliance manually. When ASIC or the ATO issued regulatory updates — new disclosure requirements, changes to superannuation rules, updated responsible lending obligations — a two-person compliance team had to read every document, extract the relevant obligations, determine which client portfolios were affected, and produce audit-ready reports for the licensee. The process took weeks per regulatory cycle, and the firm was always one missed obligation away from a breach notice.

Advisers were spending more time on compliance paperwork than on advising clients. The compliance team was overwhelmed. And the licensee was asking increasingly pointed questions about the firm's ability to demonstrate systematic compliance across its entire book.

What we built

An end-to-end compliance document processing pipeline that turns regulatory updates into actionable, auditable outputs:

Regulatory document ingestion — monitors ASIC, ATO, and APRA feeds for new regulatory instruments, consultation papers, and guidance notes, automatically classifying each by obligation type, affected product category, and effective date
Obligation extraction engine — parses regulatory documents to extract discrete obligations with structured metadata: what must be done, by whom, by when, and what evidence is required for compliance
Portfolio matching — cross-references extracted obligations against the firm's client portfolio data to identify exactly which clients, products, and advice records are affected by each new requirement
Audit-ready report generation — produces compliance reports formatted to the licensee's specifications, with obligation-to-evidence mapping, gap analysis, and recommended remediation steps for each affected portfolio

The results

Regulatory processing time

reduced from 3 weeks to 2 days per cycle

100% of obligations

systematically extracted and matched — no more relying on a single person's reading comprehension

Adviser compliance admin

cut by 70%, freeing advisers to focus on client-facing work

Audit preparation

reduced from a quarterly scramble to an always-current dashboard the licensee can access on demand

What the client said

We used to dread regulatory updates. Every new ASIC instrument meant weeks of reading, cross-referencing, and report writing. Now the system tells us exactly what's changed, who's affected, and what we need to do about it — in two days instead of three weeks. Our licensee audit went from a month of preparation to a button click.

Technology

Custom compliance processing pipeline with regulatory feed monitoring, natural language obligation extraction, portfolio matching engine, and structured report generation. Integrated with the firm's client management system and portfolio platform via secure APIs. All data remains within the firm's infrastructure. The firm owns the pipeline, extraction models, and every generated report.

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The challenge

What we built

An end-to-end compliance document processing pipeline that turns regulatory updates into actionable, auditable outputs:

Regulatory document ingestion — monitors ASIC, ATO, and APRA feeds for new regulatory instruments, consultation papers, and guidance notes, automatically classifying each by obligation type, affected product category, and effective date

Obligation extraction engine — parses regulatory documents to extract discrete obligations with structured metadata: what must be done, by whom, by when, and what evidence is required for compliance

Portfolio matching — cross-references extracted obligations against the firm's client portfolio data to identify exactly which clients, products, and advice records are affected by each new requirement

Audit-ready report generation — produces compliance reports formatted to the licensee's specifications, with obligation-to-evidence mapping, gap analysis, and recommended remediation steps for each affected portfolio

The results

Regulatory processing time

reduced from 3 weeks to 2 days per cycle

100% of obligations

systematically extracted and matched — no more relying on a single person's reading comprehension

Adviser compliance admin

cut by 70%, freeing advisers to focus on client-facing work

Audit preparation

reduced from a quarterly scramble to an always-current dashboard the licensee can access on demand

What the client said

We used to dread regulatory updates. Every new ASIC instrument meant weeks of reading, cross-referencing, and report writing. Now the system tells us exactly what's changed, who's affected, and what we need to do about it — in two days instead of three weeks. Our licensee audit went from a month of preparation to a button click.

Technology