Case Study: The 60-Second Audit
How a Global Hedge Fund cut review times from 1 week to 4 hours without lowering the bar.
January 6, 2026
If you attended the FINRA conference this year, you’d think we’ve entered the golden age of AI in compliance. It was the hottest topic in every hallway conversation, panel discussion, and vendor booth.
And yet, the numbers tell a different story. According to Thomson Reuters, less than 15% of legal and compliance professionals are actually using AI in their workflows.
Why the gap between hype and adoption?
It comes down to one word: trust.
Ask the Harder Question: How Do You Ensure Consistency?
Lots of vendors claim to “use AI.” The real test isn’t whether a tool sounds intelligent—it’s whether it behaves consistently under pressure. Can it apply the same logic across thousands of pieces of content, over time, with the same risk calibration?
We recently ran a test against one of our competitors that also claims to use AI for compliance reviews. We gave both platforms a basic prompt and—unsurprisingly—got identical responses. That’s because many so-called “AI compliance tools” are just wrappers around general-purpose models.
These models can sound convincing, but we know from real-world testing (and countless academic papers) that hallucination rates in legal and compliance applications still hover around 60%. The same model that gets it “right” today might invent rules or misapply standards tomorrow.
And regulators are paying attention.
The Supervision Rule: You Must Be Able to Explain the Outcome
Under FINRA’s Supervision Rule (Rule 3110) and similar obligations under the SEC and NFA, financial institutions are responsible for overseeing any system—human or AI—that touches their compliance program.
That includes being able to explain and defend how a review decision was made.
If a firm adopts an AI solution it doesn’t fully understand—or can’t explain in a regulatory exam—a fine is not a matter of if, but when. It’s no different from employing an algorithmic trading strategy with no risk controls. Lack of explainability is not a technical glitch; it’s a supervisory failure.
Why Surveill Focuses on "Almost Boring" Consistency
At Surveill, we didn’t set out to build the flashiest AI. We set out to build the most defensible, predictable, and regulator-aligned marketing review solution on the market.
That’s why we designed Surveill around explainable guardrails—not unstructured prompts. Every output is tied to a rule, policy, or known precedent. We don’t guess. We don’t improvise. We deliver “almost boring” levels of consistency, because boring is what compliance needs when the SEC or FINRA comes asking.
That Means:
• Every flagged issue can be traced to a rule or standard.
• Every decision is repeatable across teams and time.
• No surprises.
• No creative reinterpretations of regulatory language.
Final Thought
AI in compliance shouldn’t be about sounding smart—it should be about being right, every time. If you're evaluating an AI vendor, ask not just what the model says, but how it ensures consistency, explainability, and audit readiness.
At Surveill, we’ve built a system that doesn’t chase headlines.
We build trust—one accurate, consistent, and reviewable decision at a time.
There is so much left to build.
Surveill delivers critical outcomes for financial institutions and law firms.
Let Us Build For You
Built by MIT-Powered AI Expertise, Trusted by Leaders
Alumni & Veterans Of
Case Study: The 60-Second Audit
How a Global Hedge Fund cut review times from 1 week to 4 hours without lowering the bar.
January 6, 2026
Marketing is a delicate balance between captivating an audience while also navigating a labyrinth of compliance regulations. For firms and their compliance teams and marketers alike, this balancing act often comes with its own set of challenges. In fact, there are too many challenges to mention but let’s explore some pain points and how modern solutions can make marketing reviews seamless, efficient, and effective.
Compliance Review
Financial companies operate in a heavily regulated environment. From disclosures to disclaimers, every word, image, and claim in a marketing campaign must adhere to guidelines set by regulators like the SEC, FINRA, and others. Unfortunately, this rigorous oversight creates several hurdles:
• Time-Consuming Reviews:
Manual review processes can take days or even weeks, delaying campaign launches and affecting marketing agility.
• High Costs:
Compliance reviews not only consume time but also incur significant costs, from staffing expenses to potential fines if issues are overlooked.
• Subjectivity in Approvals:
Different compliance officers may interpret regulations or even words differently, leading to inconsistencies in what gets approved, this is often referred to as “compliance shopping”.
Marketing’s Perspective on Compliance
For marketing teams, compliance is often seen as a bottleneck rather than a partner.
Here’s why:
• Creative Freedom vs. Regulations:
Marketers strive to push boundaries with innovative campaigns, only to be held back by compliance rules that feel restrictive.
• Lack of Clear Guidance:
Ambiguity in regulations or subjectivity in compliance feedback can leave marketers guessing, leading to wasted time and effort.
• Frustration with Rejections:
Repeated rejections, especially for minor issues, can demoralize teams and delay critical campaigns.
• AI-Powered Solutions:
A New Dawn for Compliance Reviews
Modern technology, especially AI, is transforming the compliance landscape for financial marketing.
Here’s how:
• Automated Reviews:
AI tools empower marketing teams to preemptively address compliance issues, allowing them to refine materials before submission to compliance. This streamlines the process and significantly reduces the time needed for compliance approval.
• Consistent Feedback:
By using machine learning, these tools ensure consistent application of regulations across all reviews, eliminating subjectivity.
• Regulatory Updates in Real-Time:
AI systems can stay updated with the latest regulatory changes, ensuring your campaigns are always compliant.
A Strategic Advantage
For financial companies, leveraging AI for marketing reviews is not just about avoiding penalties—it’s about gaining a competitive edge. Faster approvals mean quicker time-to-market, while consistent compliance builds trust with regulators and customers alike.
By addressing common pain points and fostering collaboration between marketing and compliance, financial companies can turn regulatory challenges into opportunities for growth and innovation.
There is so much left to build.
Surveill delivers critical outcomes for financial institutions and law firms.
Let Us Build For You
Built by MIT-Powered AI Expertise, Trusted by Leaders
Alumni & Veterans Of
Everyone’s Talking About AI — But Regulators Want Something Else
July 1, 2025
If you attended the FINRA conference this year, you’d think we’ve entered the golden age of AI in compliance. It was the hottest topic in every hallway conversation, panel discussion, and vendor booth.
And yet, the numbers tell a different story. According to Thomson Reuters, less than 15% of legal and compliance professionals are actually using AI in their workflows.
Why the gap between hype and adoption?
It comes down to one word: trust.
Ask the Harder Question: How Do You Ensure Consistency?
Lots of vendors claim to “use AI.” The real test isn’t whether a tool sounds intelligent—it’s whether it behaves consistently under pressure. Can it apply the same logic across thousands of pieces of content, over time, with the same risk calibration?
We recently ran a test against one of our competitors that also claims to use AI for compliance reviews. We gave both platforms a basic prompt and—unsurprisingly—got identical responses. That’s because many so-called “AI compliance tools” are just wrappers around general-purpose models.
These models can sound convincing, but we know from real-world testing (and countless academic papers) that hallucination rates in legal and compliance applications still hover around 60%. The same model that gets it “right” today might invent rules or misapply standards tomorrow.
And regulators are paying attention.
The Supervision Rule: You Must Be Able to Explain the Outcome
Under FINRA’s Supervision Rule (Rule 3110) and similar obligations under the SEC and NFA, financial institutions are responsible for overseeing any system—human or AI—that touches their compliance program.
That includes being able to explain and defend how a review decision was made.
If a firm adopts an AI solution it doesn’t fully understand—or can’t explain in a regulatory exam—a fine is not a matter of if, but when. It’s no different from employing an algorithmic trading strategy with no risk controls. Lack of explainability is not a technical glitch; it’s a supervisory failure.
Why Surveill Focuses on "Almost Boring" Consistency
At Surveill, we didn’t set out to build the flashiest AI. We set out to build the most defensible, predictable, and regulator-aligned marketing review solution on the market.
That’s why we designed Surveill around explainable guardrails—not unstructured prompts. Every output is tied to a rule, policy, or known precedent. We don’t guess. We don’t improvise. We deliver “almost boring” levels of consistency, because boring is what compliance needs when the SEC or FINRA comes asking.
That Means:
• Every flagged issue can be traced to a rule or standard.
• Every decision is repeatable across teams and time.
• No surprises.
• No creative reinterpretations of regulatory language.
Final Thought
AI in compliance shouldn’t be about sounding smart—it should be about being right, every time. If you're evaluating an AI vendor, ask not just what the model says, but how it ensures consistency, explainability, and audit readiness.
At Surveill, we’ve built a system that doesn’t chase headlines.
We build trust—one accurate, consistent, and reviewable decision at a time.
There is so much left to build.
Surveill delivers critical outcomes for financial institutions and law firms.
Let Us Build For You
Built by MIT-Powered AI Expertise, Trusted by Leaders
Alumni & Veterans Of