Conversation Compliance Checker Agent
Monitor and flag customer conversations for regulatory compliance
Description
Challenge:
Customer–agent or customer–bot conversations across channels often involve regulatory obligations such as data privacy, consent, and disclaimers. Manual review of these interactions is inefficient and prone to oversight, leading to missed disclosures, improper tone, or non-compliant statements. Such lapses increase legal exposure, damage brand trust, and strain compliance teams tasked with monitoring thousands of interactions daily.
How It Works:
The Conversation Compliance Checker Agent captures transcripts from chat, email, and voice interactions (via speech-to-text). It applies domain-specific NLP and predefined compliance rule sets to detect missing disclosures, prohibited language, and regulatory misalignments. Conversations are categorized by severity (critical, medium, low), corrective recommendations are generated, and high-risk cases are escalated automatically. Every check is logged in a tamper-proof audit trail, providing regulators and supervisors with transparent compliance evidence.
Benefits:
95% reduction in undetected non-compliant communications
Detects missing disclosures and prohibited phrases with 90–92% accuracy
Escalates 100% of critical risks within SLA timelines
Cuts manual compliance audits by up to 70%
Strengthens brand trust and reduces legal/regulatory exposure
Features
This agent ensures every customer-facing conversation is accurate, compliant, and aligned with regulatory and internal standards, creating a safeguard against communication risks.
Features & Capabilities:
Transcript Capture: Ingests chat, email, and call recordings (via speech-to-text).
Compliance Rule Engine: Applies regulations, disclaimers, prohibited terms, and tone guidelines.
Violation Detection: Flags missing disclosures, abusive/misleading language, or privacy breaches.
Severity Categorization: Tags issues as Critical, Medium, or Low.
Recommendation Engine: Suggests corrective responses, re-contact actions, or escalation.
Audit Trail Logging: Maintains compliance records for reporting and dispute handling.
Regulatory Updates: Adapts checks in real time with feeds from regulatory authorities.
Sentiment & Tone Analysis: Detects aggression, misleading tone, or etiquette violations.
Operating Blueprint
Knowledge Sources:
Regulatory Compliance Repository (insurance, data protection, KYC/AML)
Internal Policy Handbook (mandatory disclosures, escalation rules)
Communication Standards (tone, prohibited terms, etiquette)
Call Center Scripts & Templates (baseline compliance text)
Conversation History Database (chat, email, voice)
Business Rules:
Mandatory Disclosure: Required disclaimers must be present.
Data Privacy: No PII or sensitive data shared through insecure channels.
Prohibited Language: Abusive, biased, or misleading content flagged immediately.
Regulatory Alignment: Match content against jurisdictional requirements.
Tone Sensitivity: Detect and classify aggressive or misleading tone.
Escalation: High-risk cases routed to compliance/legal teams within SLA.
Tool Workflow:
Capture → Ingest chat/email transcripts or call audio (speech-to-text).
Analyze → Run NLP + rule checks for compliance gaps.
Detect → Flag missing disclosures, prohibited language, tone issues.
Categorize → Assign severity and risk category.
Recommend → Suggest corrective actions or escalate to compliance officer.
Report → Generate logs, dashboards, and compliance summaries.
Badges
Classification
Capabilities
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