Compliance and Governance
Vega’s compliance and governance technology combines AI, automation and governed human judgement to help regulated businesses manage client risk, standardise reviews and produce clear evidence of how decisions were reached. It connects information across the client lifecycle while keeping responsibility and accountability firmly with the people making the decisions.
Make compliance easier to manage and easier to prove
Compliance is not simply about having the right policies or collecting the right client information. Firms must also demonstrate that procedures were followed, risks were reviewed, actions were completed and decisions were made by the right people using the evidence available at the time.
AI creates an opportunity to remove much of the manual work behind compliance, but it must operate within clear controls. Vega uses AI and automation to gather information, run checks, compare activity and assemble evidence, while ensuring human judgement remains visible, attributable and fully auditable.
From policy to evidence, keep compliance connected
Use AI to bring scattered information togetherDraw client information, entities, relationships, holdings, risk and activity from across existing systems into a more complete view, reducing the need for compliance teams to reconstruct the story manually.
Keep AI working under your rulesMake the firm’s compliance manual the governing authority behind each review. AI and automation undertake the supporting work while decisions remain connected to the policy version that applied at the time.
Make onboarding and reboarding more consistentStandardise KYC, CDD and AML data capture, automate workflows and reduce duplicate entry so important information is collected more consistently from the beginning of the relationship.
Keep periodic reviews under controlSchedule reviews according to client risk, calculate risk ratings from responses and automatically create action points when further work is required.
Use AI and automation to uncover hidden gapsCompare changes in client records with the processes completed by the firm, helping identify activity that has no corresponding review, decision or action behind it.
Give decision-makers the evidence they needBring policies, client information, checks, actions, rationale and authority together so senior reviewers can reach informed decisions without manually reconstructing every file.
Use AI to do the groundwork, not make the decision
The greatest value of AI in compliance comes from removing the work surrounding professional judgement, rather than attempting to replace that judgement.
Heraxis uses AI and automation to gather data from connected systems, run checks, reconcile records and activity, identify exceptions and assemble the evidence behind a decision. The compliance professional or director remains responsible for the final judgement, with their reasoning and authority clearly recorded.
This helps experienced people become confident faster and oversee more client relationships without weakening accountability or creating an unexplained AI decision-making process.
Find out more about HeraxisStronger oversight across the client lifecycle
Vega’s compliance and governance products support different but connected parts of the process, from onboarding and administration to AI-assisted oversight, periodic review and regulatory reporting.
Heraxis: AI-supported oversight and evidenceHeraxis brings AI into compliance oversight while keeping people in control. It sits above existing systems to create one governed view of the client, their holdings, risk and compliance history.
It uses AI and automation to gather, check and assemble information from across the firm’s systems. Heraxis records what happened, why it happened, who was responsible, the evidence considered and the authority under which they acted.
By making the compliance manual the governing object within the platform, Heraxis ensures each review is connected to the version of the firm’s procedures in force at the time. AI performs the manual work beneath that authority rather than making an unaccountable decision.
- Acumen, AcuHub and AVA: connected client administration
Acumen brings client and entity records, statutory information, source of funds, compliance activity and FATCA and CRS indicators into one administration platform.
AcuHub extends that process into onboarding and reboarding, standardising KYC, CDD and AML data capture while reducing duplicate entry. AcuHub can reduce manual onboarding effort by up to 70%, saving up to five hours per case.
AVA adds embedded AI assistance within Acumen. Users can ask questions in natural language, identify overdue reviews and upcoming actions, and produce draft documents using information already held in the platform. Client data is not used to train external AI models.
- AcuReview: risk assessments and periodic reviews
AcuReview provides structured, question-based reviews and checklists for periodic reviews, PEP assessments, post-onboarding checks, asset reviews and tax reviews.
Risk ratings can be calculated automatically from responses, with review frequency determined by the resulting risk level. Follow-up actions can be created, allocated and monitored centrally, while dashboards show upcoming reviews, progress and approvals.
AcuReview can be synchronised with Acumen or another core administration system.
- TDE: regulatory tax reporting
TDE supports FATCA, CRS and wider AEOI reporting by bringing data collection, validation, review, approval and report preparation into one controlled workflow.
Real-time validation helps identify missing or incorrect information earlier, while audit trails and approval controls strengthen oversight across reporting for multiple Financial Institutions and jurisdictions.
Reduce manual work without removing accountability
Use AI, automation and connected data to improve compliance efficiency while preserving clear responsibility for every review, action and decision.
- AI-assisted information gathering across existing systems
- AI-supported checks and evidence assembly
- Natural-language access to information through AVA
- Automated identification of exceptions and outstanding actions
- Client acceptance, ongoing monitoring and exit
- KYC, CDD and AML data capture
- Client and entity administration
- Source of funds information
- Client risk assessments and automated risk ratings
- Periodic and trigger-event reviews
- PEP, asset, tax and post-onboarding reviews
- Configurable checklists and review templates
- Risk-based review scheduling
- Action-point creation and allocation
- Progress and approval dashboards
- Compliance policies and version control
- Decision rationale and supporting evidence
- Historical records of authority and responsibility
- Automated reconciliation of client changes against completed processes
- Exception identification and management
- Board, auditor and regulatory reporting
- FATCA, CRS and wider AEOI reporting
- Integration with existing administration and screening systems
- Complete audit and evidence trails
Uptime SLA
Governed AI, clear accountability
The use of AI in compliance must not make it harder to explain how a decision was reached. Vega’s technology keeps AI-assisted work within controlled processes while preserving the evidence and human responsibility behind the outcome.
Keep AI beneath human authorityHeraxis uses AI to gather, compare and prepare information. The resulting decision remains attached to the individual responsible, together with their reasoning, authority and the evidence available at the time.
Control access to sensitive informationUser-level and granular permissions help ensure client, compliance and risk information is available only to appropriately authorised users.
Preserve the evidence behind decisionsConnected audit and evidence trails record the policy, information, actions, authority and reasoning behind compliance activity rather than simply showing when a record was updated.
Work with your existing technologyVega’s products connect with established administration, document management and screening systems, allowing firms to introduce AI-assisted oversight without unnecessarily replacing their existing technology.
Who are these solutions for?
Vega’s AI, compliance and governance technology supports regulated financial services businesses that need to manage client risk, demonstrate effective oversight and reduce the manual work behind compliance.
Questions answered
AI can gather information from different systems, run checks, identify exceptions and assemble evidence for review. Heraxis applies these capabilities within a governed process, while keeping decisions and accountability with the compliance professional or director.
AcuReview uses configurable, question-based templates to conduct reviews and calculate risk ratings. The resulting risk level can determine the next review date, while actions, approvals and trigger-event reviews are managed through the same system.
AI can undertake time-consuming work such as gathering data, running checks, comparing records and preparing evidence. Heraxis keeps the resulting decision, reasoning and responsibility attached to the person exercising professional judgement.
AcuReview manages structured reviews, risk assessments, schedules, checklists and follow-up actions. Heraxis provides the wider AI-supported oversight and evidence layer, connecting activity across systems and recording why decisions were made, by whom and under which authority.
Yes. Heraxis sits above core administration and compliance systems, reading information from Acumen and connecting with other existing technology. This allows firms to add AI-assisted oversight while retaining their established systems and sources of record.
Build compliance processes that can scale
If compliance still depends on disconnected data, spreadsheets and manual follow-up, Vega can help you create a more consistent, visible and accountable operating model.