AI agent for chief compliance officers
Compliance Breach Investigation Agent
A documented investigation with root cause and remediation
What it does
Compliance investigations get messy when evidence is scattered and facts are not tied to sources, and some breaches carry regulator notification deadlines. When a possible breach is reported, this agent sets up the investigation. It records the allegation, identifies the rules involved, starts any notification clock, and plans the evidence to collect: documents, emails, system logs and interviews. As evidence arrives, it builds a timeline and checks each fact against its source, marking unsourced facts as unverified. If the timeline has gaps, it lists what to collect next and drafts interview questions. It drafts findings, root cause and remediation, and flags repeat issues for root cause review. The compliance leader decides findings, regulator reporting and any discipline with HR and legal. Edge case: notification may be due within a set time, so the agent tracks that clock from day one.
How it works
Follow the arrows from top to bottom. The orange dashed arrow is the loop: when a check fails, the agent goes back and tries again.
Read the steps as a list
- Possible breach reported
- Record allegation and rules involved
- Collect documents and logs
- Build sourced timeline
- Is the timeline complete with no gaps?If not: list evidence needed and draft interview questions. Back to step 3.
- Draft findings and remediation
- Compliance leader decides findings and reportingThe agent waits here for your OK.
- Case closed with actions tracked
How it decides
It ties each fact to evidence and lists gaps until the timeline is complete.
- Possible notifiable breach: start notification clock
- Fact without source: mark unverified
- Repeat issue: root cause review
Make it yours
Every agent is a starting point. You choose these settings for your own situation.
- Case template
- Notification clocks
- Evidence sources
- Remediation tracker
What keeps you in control
It always asks you first
- Findings
- Regulator notifications
- Discipline referrals
Hard limits
- Never interviews people
- Never notifies regulators itself
It stops when
- Done: case closed
- Stop: legal privilege needed, hand to counsel
Set it up
We guide you through the set-up, step by step
Members get the full set-up guide for this agent. No technical skills needed: you copy, paste and upload.
- One set of instructions to paste into your AI, with the clicks for ChatGPT, Claude, Microsoft 365 Copilot, Gemini and Grok
- The agent then walks you through connecting your own data, one source at a time
- A downloadable copy with the flow chart, the rules and the full guide
