Compliance & risk

Every risk covered. Every decision proven.

You sign for thousands of compliance judgments you’ll never personally see. Uptiq reviews every one to your standard, logs every action as it happens, and keeps your officers in command. Full coverage, a self-building audit trail, and AI you can put in front of an examiner.

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Intake Agent

Running

150+

Institutions Trust Uptiq

The operating gap

You’re accountable for a program you can’t fully see.

Hundreds of judgments a day happen in queues, inboxes, and spreadsheets. QC samples a fraction. The rest you take on trust, and then you sign for all of it. That’s the real exposure: not the backlog you can see, but the miss you can’t.

The unseen miss

The transaction that cleared quietly. The complaint closed as a grievance. You find out when the examiner does.

Sampled, not covered

Manual programs sample by necessity. Findings live in the part nobody looked at.

Attestation without visibility

Findings carry names. You certify the whole surface while personally seeing a fraction of it.

The shift

From sampled to covered.

Uptiq doesn’t ask you to replace your vendors or change who owns the decision. It changes how much of your program you can actually see, and proves it as it runs.

The way it works today

You certify on trust

QC samples a fraction of decisions

Judgments live in inboxes and spreadsheets

Evidence is rebuilt when the request list lands

AI is a risk you’re asked to police

The way it works with Uptiq

You certify on evidence

Every item reviewed to the same standard

Every action logged the moment it happens

Evidence current and provable on demand

AI governed under your policies, officers deciding

Coverage. Consistency. Proof.

What a provable program looks like.

Full coverage of the risk. The same standard on every case. Evidence you can produce on demand. Your officers review and decide at every step.

Stage 01

Coverage

Nothing sampled. Nothing slips.

A missed sanctions hit or an unnoticed pattern isn’t a productivity problem. It’s a finding, a penalty, and a headline. Every payment, party, and pattern gets the same scrutiny, every time, and the coverage itself is documented. Real risk surfaces in minutes, and you can show nothing was skipped.

Every payment and party screened, none sampled

Alerts scored and prioritized by real risk

Coverage documented as it runs

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Sanctions Screening Agent

Running

BSA/AML Agent

Running

Stage 02

Consistency

Every case worked to the same standard.

Consistency is what examiners test and what backlogs destroy. Every case file arrives assembled the same way, the pattern analyzed, the narrative drafted in your format. Your analysts spend their hours on judgment and disposition, and every decision carries its evidence with it.

Case files assembled the same way, every time

SAR and CTR narratives drafted for disposition

Every decision recorded with its evidence

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Stage 03

Proof

Produce the evidence on demand.

Examiners don’t grade effort. They grade documentation. Filings are prepared and validated from governed data, reg changes are tracked to implementation, and every action is logged the moment it happens. When the request list arrives, it’s a review, not a rebuild. Your officers certify and file.

Filings prepared and validated, certified by your officers

Reg changes mapped to policy and tracked to done

An audit trail that builds itself

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Regulatory Reporting Agent

Running

Beyond the core program

Wherever the pressure moves next.

Fraud claims, collections, policy attestations, internal audit, M&A data review. The same approach covers the rest of the risk office. Add it team by team as you prove ROI, or build your own.

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Account Opening Agent

Onboarding Agent

CRE Lending Agent

Equipment Finance Agent

SBA Lending Agent

Offer & Upsell Agent

Build your own

Deposit Operations Agent

Fraud Review Agent

Collections Agent

Portfolio Review Agent

Renewal Agent

Covenant Check Agent

Servicing Agent

Before you ask

The questions compliance and risk leaders raise first.

Will regulators accept it?

Every recommendation is explainable, every step is logged, and nothing is filed or dispositioned by a model. When examiners ask how you govern AI, this is an answer you can show, aligned to NIST AI RMF.

Who controls the agents?

You do. Agents run under your policies and permissions, inside scoped roles, with approval gates you define. You can see what every agent did, and why, at any time.

Will it fit, and how fast?

Agents sit behind your core, case management, and screening vendors through 100+ integrations. One workflow is live in about five business days. Prove it before you expand.

Governed from the ground up

Every agent runs governed on Qore.

One foundation secures, watches, and constrains every agent: your policies, your permissions, your approval gates, your audit trail. What starts as one workflow scales into a program you can prove.

Document AI

Reads every document.

KYC files, statements, and filings read at 95%+ accuracy.

Financial Skills

Knows the work.

Screening, case assembly, and narrative drafting, the way examiners expect it.

Knowledge

Bound to your policies.

Every agent works from the same approved policies, and only those.

Integrations

Fits your stack.

Core, case management, and screening vendors connected through 100+ integrations.

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Proof, not promises

Measured on live compliance operations.

100%

Of items reviewed, none sampled

58%

Less alert triage time

Faster SAR drafting

95%+

Document accuracy

Basis: aggregate results across Uptiq deployments in compliance and risk operations.

150+

financial institutions already run on Uptiq

SOC 2 Type II

Independently audited security controls.

Governed by design

Agents work from your approved knowledge and permissions. Your data stays yours.

Resources

Go deeper on compliance & risk.

Bank

July 29, 2026

5 Key Takeaways: Why Millions in Tech Spend Still Leaves Manual Work Behind

Guides

July 22, 2026

The Future of Equipment Finance: AI-Powered Automation

Live Demo

July 30, 2026

Every risk covered. Every decision proven.

You’re accountable for a program you can’t fully see.