Client file review
File reviews are sampled because reading every file by hand is impossible, so the gaps that matter are found late or not at all. This agent checks each file against the checklist your firm already uses and returns what is missing, file by file. Your compliance lead keeps the judgement and decides what gets chased.
Step by step
Connect the client files
Document store and the shared mailbox where the correspondence that belongs on file actually sits.
Load your review checklist
The agent works to the checklist your firm maintains. It brings no standard of its own and interprets no rulebook.
It reads each file
Every file in scope is checked against every line, rather than a sample chosen to fit the time available.
It lists what is missing
Each file comes back with the lines it does not answer and where the agent looked, so a person can tell absent from misfiled.
It groups by owner
The list is ordered by the handler responsible, which makes the chase a short conversation instead of a spreadsheet.
The compliance lead approves
Nothing is chased until the compliance lead has read the list, discounted the false positives and decided the priorities.
Exactly what this agent can see, touch and change
The same five controls sit behind every ollo agent. These are this one's settings — visible before you build it, not buried in an admin screen afterwards.
Context
What reaches the modelCompliance and operations leads in a brokerage who currently sample files, and team leaders who would rather find a gap now than at an audit.
Escalation
When it asks a personThe compliance lead approves the review list before any file is chased
Applications & Rights
Which tools it uses, and what it may do in each
SharePointRead only
DropboxRead only
GmailRead only
Google DriveWrites newCreates new records or documents. Never edits, moves or deletes anything that was already there.Verification
How you know it’s rightEvery claim links to the document it came from. A statement the agent cannot cite does not make it into the output — which is what makes the result reviewable in minutes rather than re-read end to end.
Who it’s for
Compliance and operations leads in a brokerage who currently sample files, and team leaders who would rather find a gap now than at an audit.
What you’ll need
- Client files and mailbox connected
- Your file review checklist supplied
- An owner mapped to each file
- A compliance lead to approve
What you get
- A per-file list of missing items
- A chase list grouped by handler
- A note of where the agent looked
What it doesn’t do
It checks files against the checklist you give it. It does not interpret regulation, does not grade a file, and its list is a prompt for your compliance lead rather than any kind of sign-off.
We build the first one with you
Not a template you configure alone. We sit with your team, build it on real data, and hand over the controls.
Scope
One session with the people who actually do the work. We agree what the agent reads, what it may write, and who approves.
Co-build
Built on your own data, not a sandbox. You watch it being made, so you know why it behaves the way it does.
Handover
You own the controls. Change the context, tighten the rights, move the approval gate — without coming back to us.
Parts of the work currently spread across the categories below. It does not replace any of those products outright.
Frequently asked
Is this a compliance monitoring tool?
It is a document check against your own checklist, and we would not describe it as more than that. What the results mean for your monitoring programme is your compliance lead's judgement, made with the same evidence in front of them.
How does it handle a document filed in the wrong place?
It searches the connected sources rather than one folder, so misfiled documents are usually found and reported with their actual location. That distinction between missing and misfiled is the point of the note it leaves.
Can it fix the file?
No. It has read rights on the files and writes only the review list, so nothing in a client file changes because of it. Filing stays with the handler who owns the relationship.
What happens with false positives?
They are expected early and the checklist is tuned in the first passes with your compliance lead. The gate means a false positive costs a moment of reading rather than an unnecessary chase to a handler.