AI Agents for Risk & Compliance

Agentic risk & compliance workflows, trusted by risk engineering teams at leading marketplaces, fintechs, banks and retailers.

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Risk & compliance engineering, reimagined.
60+ Pre-configured Policy AI Agents
Prohibited Product Policy AI Agents
Identify prohibited product from marketplaces or websites with AI Agents

AI Agents help identify recalled products, FDA regulated product or highly harzardous products.

High Risk Business Policy AI Agents
Identify high risk businesses with AI Agents

AI Agents help rule out the business that non-compliant with your platform policies.

Merchant Digital Integrity AI Agents
Identify fake storefront, exit scam merchants with AI Agents

AI Agents help source digital footprints of business and predict business legitimacy.

Auxillary Unstructured Data Agents
Extract intermediate risk features from unstructured websites and documents

Auxillary data agents to help extract intermediate risk features and authority data sources

    Capture Risk Features from Websites & Documents
    WebsiteSite FlawsShippingIs E-CommerceCounterfeit RiskReddit Complaints
    www.shoe.com
    		Grammar mistake14 daysTrueHighNever Shipping
    www.acme.com
    		Missing Policy3 weeksFalseMediumSlow Shipping
    www.website.com
    		Fake AddressNot availableTrueHighFake Products
      Build. Back Test. Integrate.
      REST API
      SQL API
      SALESFORCE CONNECTOR
      WEBHOOK
      MCP
      Business units are relying on a large number of long, complex documents
      • Assess risk in a complex commercial financing situation
      • Assess compliance rules based on the fund prospectus
      • Benchmark peer rate changes based on insurance fillings
      • Benchmark non-GAAP metrics in SEC documents
      Any data
      Agentic ontology building & analytics
      Usecases
      Seller Onboarding & Monitoring
      Avoid provide services to non-compliant merchant
      Agentic Market Data Collection

      Industries
      Financial Data Provider
      Private Equity & VC 
      ‍

      Trusted by 10B+ AUM PE

      Scan the websites, product offering, prices, geographic location, and competitors with a simple task description.

      Credit Underwriting
      Understand merchants to provide better loan and insurance decisions
      Retail Product Compliance
      Make your sensitive products such as Alcohol stay compliant with local regulations
      Promotion Compliance
      Ensure the product marketing is compliant with your custom marketing compliance rules


      Data. A
      Alternative unstructured data
      • Social Media, BBB, TrustPilot, Google Maps
      • Regional prohibited items policies
      • Search engines
      • Any website
      ROE AI Agents Family
      • Text/Image/Video AI Agent, Web AI Agent, Document AI Agent
      • Customizable LLM, customizable prompt
      • Connect with your own LLM
      SQL-Based Agents Workflow
      • Analyze unstructured data using SQL and AI Agents
      • SQL API and REST API
      • Naturally compatible with data pipelines like DBT, Airflow
      Business units are relying on a large number of long, complex documents
      • Assess risk in a complex commercial financing situation
      • Assess compliance rules based on the fund prospectus
      • Benchmark peer rate changes based on insurance fillings
      • Benchmark non-GAAP metrics in SEC documents
      Any data
      Agentic ontology building & analytics
      Investment Compliance Analytics
      Insurance Competitive Analytics
      Merchant Compliance Analytics
      Loss Data Analytics
      DocumentMetadataRisk SummaryCompliance Rule Validation 1Compliance Rule Validation 2
      Prospectus Fidelity
      		Management Fee...Management risks.........
      Prospectus Blackrock
      		Management Fee...Diversification risks.........
      Prospectus Fidelity
      		Management Fee...Management risks.........
      Structured Compliance

      Roe AI excels in processing large volumes of documents, including financial documents, prospectuses.

      Roe AI agents can carry the compliance rules and intelligently screen on hefty documents like human, significantly accelerates the time to compliance review.

      DocumentFilling DateNAICInsurance TypeROCRates
      GEICO Filings
      		Feb 10, 202435882Auto......
      Progressive Filings
      		Mar 5, 202424260Auto......
      AAA Filings
      		Jan 28, 202415539Auto......
      Insurance Filings Analysis

      By extracting quantitative structured and unstructured data like proposed rate adjustments, historical trends, and methodologies from insurance filings, Roe AI helps insurance companies keep up with the peer pricing competitive insights, approaching DOIs.

      WebsiteCopy InfringementGrammar MistakeOffsite TransactionViolate Rule XViolate Rule Y
      Tuppleware.com
      		FalseNoneFalseFalseFalse
      Tupplewares.com
      		TrueMediumTrueFalseTrue
      Tupplewareparty.com
      		TrueHighTrueTrueTrue
      Merchant Compliance Labeling

      ROE AI enables risks team define custom criteria to extract the risk signals from businesses web presence, and consolidate the signals back to the risk modeling.

      This dramatically accelerates time to high quality data labeling.

      DocumentDateLocationTypeSummaryRisks
      Call Transcript
      		Feb 10, 2024123 AveAuto......
      Email
      		Mar 5, 2024123 AveAuto......
      Call Transcript
      		Jan 28, 2024123 AveAuto......
      Loss Data Analytics

      ROE AI can analyze the emerging risks and trends from the unstructured loss data with AI Agents and data query.

      This allows carriers to better determine the pricing model and lose less money.

      Example - build a merchant risk scan workflow
      It just takes 3 steps
      Define AI Agent Behavior
      Run AI Agents on Websites via SQL
      Build a Sophisticated Risk Decision Workflow
      Step 1: Spin up AI Agents

      We have pre-built risk data templates for merchants. You can come up with your own template.

      There are many configurations for Web AI Agents, to suit your data team's most picky requirements.

      Step 2: Build workflows via SQL

      Run the AI Agents we created on a table of URLs via SQL.

      ROE AI SQL-based data infrastructure provides a high throughput solutions for unstructured data workloads.

      You're in production.

      ROE AI SQL is naturally scalable, your SQL code is your production workflow.

      Integrate with your bespoke data pipelines like DBT, Airflow, Snowflake, Databricks.

      Roe AI v.s Chatbot Solutions
      Roe AI
      Transparency in everything
      • Interrogate documents in raw format in your own prompt so that the integrity of the documents is preserved.
      • The intermediate SQL results are easily accessible.
      • 100% correct math based on SQL aggregation.
      Scale without sacrificing quality
      • Takes < 1 min to process a 100+ page document, without pre-indexing.
      • Massive parallel processing architecture allows interrogation of 10000+ docs within minutes.
      • Produce qualitative and quantitative answers that can be aggregated into higher-order, accurate insights.
      Chatbot Solutions
      Blackbox in everything
      • Black box parsing documents into text loses the document integrity and discards tables, charts, and images.
      • Black box on how and which files are retrieved.
      • The math done by the chatbot cannot be trusted.
      Quality degrades with more documents
      • Chatbots degrades with more documents. Poor in handling 100+ pages long documents.
      • Only < 5 files are allowed in the chat conversation. More files dramatically lower answer quality.
      • Only qualitative answers are produced, hard to be plugged into a financial model.
      Roe introduced a solution that converted complex investment data, often locked in unstructured PDF formats, into structured datasets, which saved us 50% operations.
      VP of Product
      A leading portfolio analysis fintech
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      Stay compliant today.
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