Encore Compliance

The Challenge

Financial services firms face strict regulatory requirements around employee communications — every call, email, and message must be monitored for compliance violations. Traditional approaches rely on manual review by compliance officers, which is expensive, slow, and impossible to scale. Firms were spending hundreds of thousands annually on compliance teams that could only review a fraction of communications.

Encore Compliance had a vision: use AI to automate the monitoring process, catching violations in real-time while dramatically reducing costs. But they needed a team that could take a concept and turn it into a production-ready, enterprise-grade platform.

The Solution

We worked with Encore from day one — starting with product strategy workshops to define the core workflows, then moving through design and development:

• AI-powered call analysis — built an ML pipeline that processes recorded calls, transcribes them, and flags potential compliance violations using natural language processing
• Intelligent dashboard — a compliance officer interface that surfaces flagged issues with context, confidence scores, and suggested actions, turning hours of manual review into minutes
• Audit trail system — every decision, flag, and review is logged with full traceability for regulatory audits
• Multi-tenant architecture — designed from the ground up to serve multiple financial services firms with data isolation and role-based access

The platform runs on AWS with Django powering the backend API and ML pipelines, and React delivering a responsive, real-time frontend experience.

The Results

Encore Compliance went from concept to a salable product that financial services firms are actively adopting. The platform reduces compliance monitoring costs by 85% compared to manual review, while actually increasing coverage — every communication is analyzed, not just a random sample.

The design work has become a key selling point. As Tad Mitchell noted, clients frequently compliment the interface, which is critical in an enterprise market where trust and professionalism drive purchasing decisions.

The platform now provides 24/7 automated monitoring with compliance review cycles that are 10x faster than traditional methods, giving firms confidence that they're meeting regulatory requirements without breaking the bank.