The client partnered with eClerx to deploy multi-agent compliance monitoring across its global exchange network, reducing manual compliance effort by 90% while achieving 95% classification accuracy, which is above human baseline.

Operating global derivatives and post-trade infrastructure across a highly regulated, multi-exchange environment, the firm needed a faster, more reliable regulatory monitoring system to remain compliant.

The challenge

The client’s compliance monitoring team relied on manual scanning of exchange sites to catch new circulars, which resulted in:

• A slow, error-prone process that struggled to keep up with the volume and pace of updates across a fragmented, multi-exchange environment
• Changes that were hard to track consistently across sources with inconsistent formats
• Updates that were logged through manual Jira ticketing, resulting in frequently missed SLAs and reworks

This reactive form of exchange compliance monitoring left the firm exposed to penalties, with limited ability to demonstrate a defensible, auditable trail of how regulatory changes were identified and actioned.

Our strategy

eClerx deployed a multi-agent, automated compliance monitoring system, with each agent handling a distinct stage of the workflow:

• Web monitoring agents: Continuously scan exchange sites and extract circulars in real time
• Classification agent: Tags each circular by type, jurisdiction, urgency, and affected products
• Rules validation agent: Checks incoming updates against the firm’s compliance frameworks
• Workflow agent: Automatically creates and tracks Jira tickets end-to-end
• Insights and alerts agent: Delivers real-time dashboards and escalations for time-sensitive items

The automated compliance monitoring solution was built on RoboWorx CogniFlows as the orchestration layer, with Compliance Manager as the regulatory rules engine, DocIntel for circular extraction and classification, an NLP/LLM stack for jurisdiction and urgency tagging, Jira for autonomous ticket lifecycle management, and QA360 for audit trail and quality monitoring.

The result

The engagement transformed the client’s regulatory change monitoring from a manual, reactive process into a proactive, fully auditable system operating at scale.

• 90% reduction in manual compliance monitoring
• 95% classification accuracy, above human baseline
• 80% lower compliance risk, shifting the firm from reactive to proactive posture
• 100% audit coverage, with a fully traceable trail from circular to resolution
• 5 agents orchestrated end-to-end across the monitoring, classification, validation, and workflow lifecycle

How eClerx can help

This engagement was led by eClerx’s RoboWorx CogniFlows team, leveraging its compliance monitoring solutions and DocIntel capabilities. Organizations in regulated, multi-exchange environments looking to improve or automate regulatory monitoring or build a fully auditable exchange monitoring trail can contact eClerx to learn how a similar approach could work for their business.

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