Agentic AI Regulatory Compliance Starter Kit

Today's Challenges

Regulatory inquiries from agencies like the SEC, FINRA, or FDIC often seem simple, but answering them is anything but. For most financial institutions, data lives in fragmented systems across trades, accounts, employee logs, and communication archives. Records change frequently, schemas vary, and much of the context is unstructured.

Legal and compliance teams often lack the tools to investigate these questions independently, relying instead on overstretched IT and engineering teams. This leads to manual stitching of datasets, weeks-long turnaround times, and a high risk of error or missed deadlines. As inquiry volume grows and expectations tighten, so do the cost, complexity, and reputational risks of noncompliance.

Grid Dynamics Solution

Grid Dynamics’ Agentic AI Regulatory Compliance Starter Kit transforms how BFSI organizations manage compliance workflows. Built entirely on AWS, this solution allows compliance and legal professionals to ask natural language questions and receive precise, time-aware, regulator-ready answers with full traceability.

The starter kit combines:

• Agentic AI Workflows: Securely interpret regulatory questions and plan data queries using explainable LLM agents powered by Amazon Bedrock, SageMaker, and AgentCore.
• Immutable Data Access: XTDB stores the full history of financial records using bitemporal logic, enabling exact reconstruction of data at any point in time.
• Secure Query Execution: Role-based access control, audit logging, and guardrails validate every step.
• Formatted Regulatory Outputs: Answers are auto-formatted into CSV, FIX, XML, or ISO 20022 for direct export.

With Grid Dynamics, compliance teams reduce inquiry response time by up to 50%, cut development workload by 30-40%, and maintain 100% audit readiness without writing a single line of code.

Getting Started

This solution can be delivered as a 6-week Proof of Concept engagement designed to demonstrate feasibility, accelerate adoption, and deliver a validated business demo for compliance stakeholders.

Grid Dynamics handles infrastructure provisioning, demo data setup, and all AI/XTDB components required to showcase real-world use cases like regulatory inquiries, audit requests, or FINRA reporting, without requiring full-scale production integration.

As part of this offering, our team will:

• Deploy a secure, cloud-native version of the solution using your AWS environment
• Integrate obfuscated or sample data to simulate real-world regulatory scenarios
• Enable AI-powered natural language inquiries across immutable, bitemporal records
• Deliver a live demo tailored to your regulatory use cases (ie. FINRA or SEC inquiries)
• Validate outputs with business and compliance stakeholders
• Co-develop a roadmap for production rollout based on findings

In as little as 6 weeks you’ll leave with a fully operational demo, hands-on experience for your compliance users, and a clear implementation plan giving your organization the confidence to move forward with a scalable solution backed by AWS-native services.