--- title: "Compliance AI agents" section: "Agent store — Finance — processes" canonical_url: "https://leverge.ai/agents/finance/compliance" category: "Finance" process: "Compliance" publisher: "Ailoitte Technologies Private Limited" --- # Compliance AI agents 7 production agents automating compliance within finance. Each one runs today and publishes its inputs, steps and outputs. ## Agents in this process ### Audit Preparation URL: https://leverge.ai/agents/finance/compliance/audit-preparation Work through the auditor's request list before they arrive — what exists, what does not, and which items will turn into a finding rather than a question. Steps: Reading the request list → Assessing readiness item by item → Writing the preparation plan. Returns: Ready for fieldwork; Preparation plan; Will become a finding; Item by item. ### Contract Financial Compliance URL: https://leverge.ai/agents/finance/compliance/finance-contract-compliance Check what we are actually being charged and paid against what the contract says — the uplifts nobody authorised, the discounts never applied, and the obligations quietly missed. Steps: Reading the contract → Reading the activity → Comparing activity against the contract → Writing the review note. Returns: Charged as contracted; Review note; Money on the table; Contract term against what happened; Obligations met. ### Financial Control Risk Assessment URL: https://leverge.ai/agents/finance/compliance/financial-risk-assessment Rank financial control risks by what could go wrong undetected — driven by whether the control actually operates, not by how the risk register scores it. Steps: Reading the register → Testing whether the controls actually operate → Writing the assessment note. Returns: Risk covered by an operating control; Assessment note; Control exists on paper only; Risk by risk; Assessment basis. ### Regulatory Obligations Tracker URL: https://leverge.ai/agents/finance/compliance/regulatory-obligations-tracker Track every filing and regulatory obligation against its deadline — what is late, what is at risk, and which ones have no owner at all. Steps: Reading the register → Checking each obligation against its deadline → Writing the brief. Returns: On time; This week; Late or about to be; Every obligation; Ownership. ### Regulatory Report Assembly URL: https://leverge.ai/agents/finance/compliance/regulatory-reporting Assemble a regulatory return from the ledger and check every figure ties back — because a return that does not reconcile to the accounts is the one the regulator asks about. Steps: Reading the return data → Tying each line back to the ledger → Writing the submission note. Returns: Ready to submit; Before submission; Do not submit until resolved; Line by line; Checks performed. ### Spend Policy Compliance URL: https://leverge.ai/agents/finance/compliance/spend-policy-compliance Check transactions against the spend policy — the breaches, the approvals that were split to stay under a threshold, and the patterns a single-transaction check would never see. Steps: Reading the transactions → Checking against the policy → Writing the compliance note. Returns: Within policy; Compliance note; Patterns, not one-offs; Breach by breach; Rules applied. ### Tax Position Review URL: https://leverge.ai/agents/finance/compliance/tax-position-review Check the tax positions taken in a period against the policy — which are settled, which rest on a judgement nobody has written down, and which would not survive an enquiry. Steps: Reading the positions → Looking up the tax policy → Testing each position → Writing the review note. Returns: Positions supported; Review note; Would not survive an enquiry; Position by position; Documentation held; Policy applied. --- Source: https://leverge.ai/agents/finance/compliance — Leverge