AI workflow automation for investment compliance functions
Your compliance system monitors the portfolio. Everything around it is still manual.
Dobosi Consulting builds AI workflows for the work that sits outside your compliance monitoring platform — documenting guidelines, keeping records, and running the checks your team still does by hand. Automated where it is safe. Human where it counts. Auditable throughout.
The rules engine was never the bottleneck
Ask a compliance team where the hours go and almost nobody says "rule coding". They say documentation. They say evidence. They say the monthly pack, the annual guideline review, the six checks that never made it into the system because they need someone to read something and form a view.
That work is real, it is required, and most of it lives in Word documents, spreadsheets, shared drives and email threads. It is slow to do, hard to hand over, and painful to reconstruct when someone asks how a decision was reached eighteen months ago.
This is the work AI is genuinely good at — provided a person still signs the parts that carry accountability, and provided every step leaves a record.
02 — WHAT IT COSTS
The headcount you cannot get
Most compliance functions are not overstaffed. They are one person short, and have been for months. Either the headcount was not approved, or it was approved and the search has stalled — because the person you actually want has fifteen years of guideline experience, reads a prospectus without flinching, and is not looking.
The work does not pause while you search. The annual guideline review still happens. The breach file still gets written. The quarterly checks still have to be evidenced, on time, by someone.
Automating that work does not replace the people you have. It returns the part of their week that never needed a qualified person, which in most functions is the larger part.
Capacity you did not have to recruit for.
Four kinds of work we take off your team
Guideline documentation
Turning mandates, prospectus terms and side letters into a structured, versioned guideline register that stays current.
Read moreRecords and evidence
Breach files, attestations, approvals and committee packs assembled automatically, with the audit trail built in.
Read moreManual monitoring
The checks that were never coded — liquidity, counterparty, ESG commitments, side letters, PA dealing — run consistently and logged.
Read moreOversight and governance
The control map, checkpoints and documentation your senior manager needs before signing anything off.
Read moreWe know your compliance engine well enough to leave it alone
Rule design, coding and testing. Breach investigation. Guideline interpretation, and the slow work of finding out that a restriction was coded from a superseded document. That is where the last twenty years went, on the platforms large asset managers actually run.
Which is exactly why we do not go near your configuration. The people who own that responsibility should keep it, and every change inside a monitoring platform carries a testing and validation burden that a documentation problem does not.
So we work around the system rather than inside it. Nothing we build changes a coded rule, alters a limit, or sits between your monitoring engine and your order management system. The change footprint stays small, your vendor relationship stays clean, and a project can start without a technology programme wrapped around it.
Knowing the engine is what makes the surrounding work possible. We can read your rule set, see what it covers and what it quietly does not, and design the manual process around that gap. You cannot document what you do not understand.
Bounded autonomy, auditable by design
Every workflow we build follows four rules. Each automated step writes a record. Anything requiring judgment is signed by a person. No output exists that cannot be traced to the document or data it came from. And the evidence is produced as the work happens, not assembled afterwards when someone asks for it.
How we workWho this is for
Asset managers with real regulatory obligations and small teams carrying them. Typically a UCITS or AIF range, a compliance function of three to fifteen people, an established monitoring platform, and more manual process around it than anyone is comfortable admitting.
We also work as a specialist subcontractor to consultancies delivering broader change programmes, where the compliance workstream needs someone who has actually run one.
Start with a conversation, not a proposal
The first call is thirty minutes and costs nothing. If there is a fit, the next step is a short assessment of where the manual work actually sits. If there is not, you will get a straight answer.
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