A compliance assistant for a capital market intermediary
- 01Starting point
- Compliance staff at a capital market intermediary check daily questions against the Guidelines on Technology Risk Management of the Securities Commission Malaysia (SC) and the firm’s own procedures. Answers vary between colleagues, and finding the relevant paragraph takes time.
- 02What we would deliver
- Retrieval over the SC guidelines and the internal procedures, with access rights taken from the document repository, and answers that quote the paragraph they rely on.
- 03Decisions that stay with people
- The head of compliance approves the test set and every release that changes answers; questions outside the documents are declined and passed to a named officer.
- 04How results would be tracked
- Share of answers citing the correct paragraph, the rate at which out-of-scope questions are declined, and the cost of each answer.