AI Compliance Manager

Every client. Every document.
Every decision. One complete picture.

PrimeSolve's compliance tool doesn't just check today's SOA — it reads the entire client relationship. Upload every file note, email, SOA, and ROA ever produced and get a compliance view that spans the whole advice journey.

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How it works

Upload the complete client file.
The AI reads everything.

Drop in the full history — past and present. PrimeSolve ingests and reads across all document types simultaneously.

Drop client files here or browse to upload
PrimeSolve reads across all document types — no formatting required
SOAs & ROAs
File notes
Emails
Meeting transcripts
Risk profile assessments
Portfolio reports
Fact finds

Pre-vet

Flags compliance issues before the SOA is finalised. Fix problems before they ever reach the compliance desk — not after a document has already been sent to a client.

Post-vet

Reviews completed advice documents. Every issue flagged comes with a clear action plan to resolve it — not just a red light. Your compliance team always knows the next step.

Journey mapping

Maps the entire advice relationship over time. Not just the most recent document — the whole story. Because ASIC doesn't just review the SOA. They review the relationship.

What gets checked

Four lenses. Zero blind spots.

PrimeSolve checks every dimension of advice quality — strategy, risk, fees, and disclosure — across the entire client file.

Strategy relevance
Are recommended strategies connected to what the client actually said they wanted?
Client objectives mapped against strategies recommended
Gaps flagged — objectives mentioned in fact find but not addressed in advice
Relevance of each strategy to client's documented goals, timeline, and circumstances
Risk profile consistency
Is the recommended portfolio consistent with the client's documented risk profile?
Portfolio asset allocation checked against stated risk profile
Risk profile drift flagged across review periods — has the portfolio shifted without documentation?
Re-assessment triggered if client circumstances have materially changed
Fee-for-value & switching justification
Is there a documented financial case for every product change?
Switching costs, exit fees, and CGT consequences documented
Ongoing fee justified relative to services delivered
Benefit of replacement product clearly articulated against cost of switching
Disclosure & product suitability
Is disclosure language appropriate? Is the product consistent with client risk?
Disclosure language reviewed for completeness and accuracy
Product risk profile matched to client risk tolerance
Heightened disclosure flagged for complex or illiquid products
The advice journey

The only tool that maps
the whole relationship.

ASIC doesn't just review the SOA. They review the relationship. PrimeSolve maps the entire client advice journey — from first recommendation to today — so your compliance team can evidence not just what was advised, but that it was implemented, monitored, and adjusted as the client's life changed.

Advice Journey — Complete client file review
JW
James & Carol Williams · Client since 2021
Date
Event
Flags
Status
March 2021
Initial SOA
Balanced growth portfolio. Super consolidation recommended.
Risk profile: Balanced. 3 strategies documented. Implemented within 30 days.
Super consolidation Investment allocation Insurance review
Pass
Implemented ✓
September 2021
File note
Client mentioned upcoming property purchase.
James noted intention to purchase investment property within 12 months. No follow-up advice issued.
No follow-up advice issued — strategy update may be required
Review
March 2023
Annual ROA
Portfolio rebalanced. Risk profile reassessed — unchanged.
Strategies confirmed appropriate. Rebalance documented. Property purchase did not proceed — noted in file.
Rebalance ✓ Risk confirmed
Pass
Rebalanced ✓
March 2024
Annual review due
No review documented.
Ongoing advice fee charged March 2024. No file note, meeting record, or ROA found for this period.
No file note, ROA, or meeting record found — service gap
Ongoing fee charged without documented service delivery
Critical
Action required

The compliance obligation isn't just "was the initial SOA good." It's "has this client been properly served over the entire relationship." PrimeSolve is the only tool that answers that question — across every document, every year, every adviser interaction.

Issues flagged. Action plans attached.

Not just a red light.
A clear path to resolution.

Every compliance issue surfaced by PrimeSolve comes with a specific resolution path. Your team always knows exactly what to do next.

🔴
Critical — Strategy gap
Debt reduction objective not addressed
Client stated debt reduction as primary goal in fact find. No strategy addressing this appears in any subsequent document — across 3 years of advice.
Action: Draft ROA addressing debt reduction strategy before next review
Critical
🟠
Review — Risk profile drift
Portfolio allocation shifted since last assessment
Current portfolio is 72% growth assets. Documented risk profile supports 60% growth. Drift not explained in any review document.
Action: Rebalance or document client's informed decision to hold current allocation
Review
🟠
Review — Service gap
No annual review conducted, ongoing service fee charged
Ongoing advice fee charged March 2024. No file note, meeting record, or ROA found for this period. Fee-for-no-service risk.
Action: Conduct and document overdue review, or issue fee rebate with explanation
Review
✅
Pass — Switching justification
Product replacement fully documented
Product replacement in 2023 ROA includes exit costs, CGT impact, and net benefit calculation. Switching justification is complete and compliant.
No action required — documentation is complete
Pass
Who it's for

Built for the people who carry
compliance responsibility.

Whether you're reviewing your own work or overseeing an entire dealer group — AI Compliance Manager gives you the coverage you need.

Compliance Managers
Stop spending your day finding problems other people created. PrimeSolve catches issues before documents reach your desk — and when they do, the action plan is already written. Focus on resolution, not discovery.
Heads of Advice & Dealer Groups
One view across every adviser, every client, every file. Demonstrate to ASIC that your advice process is rigorous, consistent, and documented — from day one of the client relationship to today.
Financial Advisers
Know your SOA is clean before you submit it. Pre-vet flags issues in real time so you're not waiting days for compliance feedback on a document you'll need to rewrite anyway. Get it right the first time.

See it on a real client file.

Book a 30-minute demo. Bring a client file — we'll run it through the compliance engine live.

Book a demo
No obligation. No sales pitch. Just the product on your data.