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AI agent for compliance analysts

Customer Due Diligence Refresh Agent

Every customer file due this period is complete, current and correctly rated

ComplianceRisk managementLegalFinance
See how it worksGet access
Customer Due Diligence Refresh Agent: what goes in, what the agent does and what you get

What it does

Customer files age, owners change and addresses move, and a periodic review is easy to miss. This agent finds files due for review by risk rating and date. For each one it checks news and sanctions data, ownership records and address data for changes. It lists what is missing or expired and sends a document request to the customer, with a deadline. As replies come in, it compares each document with the file and requests clarification when something does not match. If documents never arrive, it reminds the customer and escalates after the limit. When the file is complete, it proposes a risk rating with reasons. The analyst approves each rating change and any account restriction. Edge case: the new owner of a company appears in a news item.

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.

Start and resultWhat it doesA check on its own workWaits for your OKGoes back and retries
ApprovedYes, continueYes, continueApprovedNoNo 1 STARTS WHEN Customer file reaches its review date 2 USES A TOOL Check news, sanctions and ownership data for changes 3 DOES List missing, expired and changed items 4 YOU APPROVE Analyst approves the document request 5 USES A TOOL Send the request with a deadline and track replies 6 USES A TOOL Compare each document with the file 7 CHECKS THE RESULT Does every document match and cover the requirement? If not: ask for clarification or a corrected document.Back to step 6. 8 CHECKS THE RESULT Has the customer answered by the deadline? If not: remind, then escalate for restriction reviewafter the limit. Back to step 5. 9 DOES Propose a risk rating with reasons 10 YOU APPROVE Analyst approves the rating and any accountrestriction 11 RESULT Updated customer file
Read the steps as a list
  1. Customer file reaches its review date
  2. Check news, sanctions and ownership data for changes
  3. List missing, expired and changed items
  4. Analyst approves the document requestThe agent waits here for your OK.
  5. Send the request with a deadline and track replies
  6. Compare each document with the file
  7. Does every document match and cover the requirement?If not: ask for clarification or a corrected document. Back to step 6.
  8. Has the customer answered by the deadline?If not: remind, then escalate for restriction review after the limit. Back to step 5.
  9. Propose a risk rating with reasons
  10. Analyst approves the rating and any account restrictionThe agent waits here for your OK.
  11. Updated customer file

How it decides

A file is complete when all required documents are current and match the data. Rating changes need a reason from new facts.

  • Review high-risk files every year and low-risk every three years
  • Treat a new owner above 25 percent as a trigger for full review
  • Escalate after two reminders
  • Never lower a rating without new evidence

Make it yours

Every agent is a starting point. You choose these settings for your own situation.

  • Review cycle by rating
  • Reminder timing
  • Ownership trigger (default 25 percent)
  • Sources checked

What keeps you in control

It always asks you first

  • Document requests
  • Rating changes
  • Account restrictions

Hard limits

  • Never restricts an account on its own
  • Keeps personal data inside the case system

It stops when

  • Done: file complete and rating approved
  • Stop: customer unreachable and escalation approved

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.

10 minto set it up in your AI
5 AIsChatGPT, Claude, Copilot, Gemini, Grok
  • 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
Get access to this agent

An example run

What happensReview of a small import firm showed the registry listing a new owner holding 40 percent. News also mentioned an investigation of that person. The agent asked the customer for identity and ownership documents. The reply's address did not match the registry, so it asked for a recent utility bill. After the corrected document, it proposed high risk. The analyst approved it and a review of the account.

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