Compliance is the new product roadmap
Every SR 11-7 review, every BSA exam, every SOX cycle pulls operations capacity away from customers. The cost of being audit-ready never stops compounding.
Audit-grade autonomous agents for AML, KYC, model risk monitoring, loan operations, trade surveillance, and Lean Six Sigma β designed for SR 11-7, BSA/AML, SOX, and FFIEC examination.
Banks and asset managers don't need another AI demo. They need agents that pass model validation, leave a complete audit trail, run inside a VPC or sovereign region, and coexist with the change-control process that's been in place since Basel II. PipeIQ is built for that environment.
Every SR 11-7 review, every BSA exam, every SOX cycle pulls operations capacity away from customers. The cost of being audit-ready never stops compounding.
Manual document review, sanctions screening, and CDD memos turn 'open an account' into a six-touch process. Customers churn before they fund.
False-positive rates north of 95% are standard. Investigator hours go to dispositioning noise; real risk gets less attention than it should.
SR 11-7 requires ongoing performance monitoring, but the practical reality is point-in-time validation. Drift surfaces months after it starts costing money.
Every Lean project takes a quarter. By the time the improvement ships, the process has changed underneath it.
Off-the-shelf LLM tools fail validation: no audit log, no version pinning, no documented training data, no rollback path. Procurement says no.
Agents review alerts, pull customer history, cross-reference sanctions and PEP lists, and produce a draft Suspicious Activity Report narrative. Investigators review and file β instead of writing from scratch.
Agents collect onboarding documents, run sanctions/PEP screening, classify risk tier, and draft the CDD memo. Manual review reserved for elevated-risk cases.
Agents watch production models for performance drift, concept drift, and distribution shift in near real time. Auto-generate model performance reports for the validation team.
Process loan packets, flag missing documents, validate income and asset data against source systems, score completeness for underwriter handoff.
Detect spoofing, layering, wash trading, and front-running patterns across order book and execution data. Surface narrative-ready evidence packets for compliance review.
Agent-augmented DMAIC across retail banking, lending, and operations β running 10x more projects with the same black-belt bench.
Every agent decision is logged, replayable, and mapped to the controls your examiners and internal audit care about.
Federal Reserve Guidance on Model Risk Management
PipeIQ agents ship with validation packages: model documentation, performance tracking, replay logs, and approval workflows that map to the SR 11-7 lifecycle.
Bank Secrecy Act / Anti-Money Laundering
Alert triage and SAR drafting agents are designed for FinCEN-aligned workflows with full audit trails on every disposition.
Sarbanes-Oxley
Every agent action β data access, decision, output β is logged in tamper-evident storage with cryptographic integrity, satisfying ICFR audit requirements.
FFIEC IT Examination Handbook & Cybersecurity Assessment Tool
Agent infrastructure supports the FFIEC CAT maturity model: identity controls, change management, third-party risk, incident response.
OCC Heightened Standards / Bulletin 2013-29
Third-party risk management posture, including vendor due diligence packages, control attestations, and exit planning, is built in.
Gramm-Leach-Bliley Act / Regulation P
Data minimization, customer NPI handling, and consent tracking are first-class concepts in the agent data fabric.
Basel Capital Adequacy Framework
Risk-weighted-asset calculations, capital reporting, and stress test workflows can be augmented with agent-driven data validation and scenario generation.
Consumer Financial Protection Bureau guidance
Fair lending analytics, disparate impact testing, and complaint analysis surfaced from unstructured customer communications.
PipeIQ is founded and led by a 20+ year Bay Area operator who has shipped data systems at scale. We bring engineering muscle, not slide decks.
Every agent decision logs the input data hash, model version, prompt, reasoning, and output. Replayable end-to-end for SR 11-7, SOX, and customer audits without extra work.
Databricks Lakehouse, Snowflake, Azure, AWS GovCloud, and on-prem deployment options. VPC-isolated or sovereign-region for sensitive data.
Your Six Sigma black belts, model validation team, and IT change-control processes stay in place. Agents plug in; nothing rips out.
Every PipeIQ agent ships with the SR 11-7 lifecycle artifacts: model documentation describing inputs, methods, and limitations; a performance monitoring dashboard with drift alarms; a validation package with independent test results; an approval workflow that maps to your model risk committee process; and full audit logs for every production decision. Agents are treated as models, not as 'tools' that escape review.
Yes. PipeIQ deploys inside your VPC or sovereign region β data never crosses your boundary. Models are either self-hosted (open-source LLMs on your infrastructure) or accessed through enterprise contracts (Bedrock, Azure OpenAI, Databricks Foundation Models) that contractually exclude your data from training. Data minimization, consent tracking, and Regulation P opt-outs are first-class in the data fabric.
Complementary. Your black belts stay in charge of the methodology, project chartering, and change management. PipeIQ agents take over the data-heavy phases (Measure, Analyze, and continuous Control) so each black belt can run 5β10 active projects instead of 1β2. We have detailed pages on AI for Lean Six Sigma and AI for DMAIC if your operational excellence team wants the deep dive.
Agents do not auto-close alerts. They prioritize, enrich with context, and pre-draft the narrative β the investigator still makes the disposition call and signs the audit log. The reduction in noise comes from better triage, not from skipping reviews. Typical engagements cut investigator-hours-per-alert by 40β60% while increasing the rate at which true-positive alerts get filed as SARs.
Three tiers: (1) VPC-isolated on your existing cloud (Databricks workspace, Snowflake, AWS, Azure); (2) Sovereign-region deployment for regulatory residency requirements; (3) On-premises deployment behind your firewall for the most sensitive workloads. Every tier includes the same agent platform, audit logging, and SR 11-7 validation tooling.
A typical timeline is 6β10 weeks from contract signature to first production agent. Two weeks for joint scoping and data access setup, three to five weeks for agent build and validation, two weeks for model risk review and production change control. The second agent and beyond drop to 3β5 weeks because the platform, validation packages, and integration patterns are in place.
The core service line: AI agents for continuous process improvement across regulated and non-regulated workflows.
How agents augment LSS practice across retail banking, lending, and operations.
Define, Measure, Analyze, Improve, Control β phase-by-phase, with audit-grade traceability.
Bring a specific workflow β AML triage, KYC, model risk, a back-office Six Sigma project β and we'll scope it on the call. NDA available before details are shared.