Compliance and regulatory change management
Compliance and regulatory change management software tracks the regulations and notices that affect an organisation, assesses their relevance and records the response.
AI can classify sources and draft summaries. Wider detection may increase review load unless filtering and prioritisation keep pace; classification can also reduce the number of items requiring manual review.
Key facts
- Sources are regulations, notices and publications, grouped by jurisdiction.
- Relevance is classified by topic, jurisdiction and client.
- Output takes the form of alerts, reports and obligation registers.
- The product records who reviewed what and when.
- Measure incoming volume, delivered alerts and time to decision separately to assess the effect of AI classification.
What it covers
| Aspect | In this category |
|---|---|
| Sources | Regulations, notices and publications by jurisdiction |
| Relevance | Classified by topic, jurisdiction and client |
| Triage | Reviewed, excluded, escalated, actioned |
| Output | Alerts, reports, obligation registers |
| Evidence | Who reviewed what and when |
Who uses it
| Role | What they need |
|---|---|
| Compliance analyst | Triage many alerts quickly and record the decision |
| Compliance or legal lead | See what changed, what is escalated and what is overdue |
| Executive or client reader | A short summary of what matters this period |
| Auditor | Proof of who reviewed each item and when |
What makes it hard to design
Volume. Reports grow until readers stop reading them. Levels between the whole report and a single alert, such as themes and takeaways, let a reader stop at the depth they need.
Repeated decisions. Groups of alerts often share a cause and get the same decision. Bulk triage handles the group in one action.
Triage state. Reviewed, excluded, escalated and actioned items need to look different, so readers do not re-check finished work.
Summary first. A summary with statistics at the top of each report tells executive readers what changed before they open any alert.
Regulatory text is long. Opening an alert inline keeps the reader’s place in the list.
Trade-offs
- Showing every alert is complete, and the important ones get buried. Grouped and summarised reports are readable, with individual items one click away.
- Bulk triage saves time on repeated decisions and makes it easier to apply one decision to an item that needed a different one.
Common mistakes
- Reviewed and unreviewed alerts mixed in one list. Readers re-check work that has already been done.
- One long report with no summary
- Triage one alert at a time when groups share a cause
- Executive readers given the analyst view
Where we’ve worked on this