MiFID II Compliance Agent for Financial Services

Automates MiFID II compliance checks using speech-to-text and AI models for classifying call recordings as compliant, partially compliant, or non-compliant, right from UiPath Apps.

The MiFID II Compliance Agent by 4th-IR is a UiPath-based automation solution designed to enhance regulatory compliance operations within financial services. It leverages AI and automation to transcribe call recordings and assess compliance with the MiFID II (Markets in Financial Instruments Directive) regulatory framework. The solution removes manual effort, ensures consistency, and scales effortlessly to handle both single and bulk compliance reviews.

Business Problem

Traditionally, compliance officers manually review call recordings to evaluate adherence to MiFID II obligations. This process is time-consuming, error-prone, and difficult to scale, especially when dealing with hundreds of calls. The MiFID II Compliance Agent eliminates these inefficiencies using an automated AI-driven solution.

How It Works

Users can select between single or multiple file processing modes via UiPath Apps. Audio files are transcribed using a speech-to-text model. The transcriptions are then analyzed by an AI model that classifies each call as Compliant, Partially Compliant, or Non-Compliant, based on regulatory criteria. The results are stored in an Excel file and visualized in the UiPath interface for easy review and reporting.

What You Get

• A fully automated UiPath workflow
• Speech-to-text transcription for .wav, .mp3, and other formats
• AI-based classification of call transcripts
• UiPath Apps front-end for file input and result display
• Excel output for compliance documentation and reporting
• Error handling and logging for unsupported formats or failures

Who It's For

This solution is designed for:

• Compliance teams in financial institutions
• Internal audit and legal departments
• Call center quality assurance leads
• Automation COEs seeking regulatory support solutions

Deployment

This solution is deployed and configured by 4th-IR. After purchase, our team will contact you to set up the automation in your UiPath environment, customize it to your needs, and walk you through the usage.

• Full Automation: Eliminates manual compliance checks with end-to-end automation.
• Speech-to-Text: Converts call recordings into readable transcripts using AI-powered transcription.
• AI Classification: Assesses each call for MiFID II compliance with consistent logic.
• Single & Bulk Modes: Handles both individual calls and batch folders of recordings.
• Excel Reporting: Stores compliance outcomes, transcripts, and metadata in Excel.
• UiPath Apps Interface: Simple interface for users to upload files and view results.
• Robust Error Handling: Gracefully manages invalid paths, unsupported files, and model failures.
• Scalable: Designed to process high volumes of recordings efficiently.