In plain English: a payment to the wrong counterparty is a fine, a headline, and a consent order. FinCompliance AI screens against live government data — OFAC SDN (~19,000 records), the EU Consolidated list, SEC EDGAR — and seals every result so it holds up offline, years later.
OFAC adds names without warning. A screen against last week's list is a violation waiting for an examiner to find it.
Transliteration, aliases, near-misses. Exact-match screening clears the names designed to slip through it.
SEC 17a-4(f) WORM and an auditable trail are the difference between a control and a claim. A screen you can't re-verify offline didn't happen.
Ten tools over a clean Agent Connect surface — screening tools resolve against live government data, each carrying an honest real_backend_resolved marker and a source URL.
OFAC SDN + EU Consolidated screening and money-laundering risk detection against live lists.
Validate counterparty identity and confirm recommendation suitability — the onboarding controls, automated.
Trade surveillance and market-abuse detection — the patterns that become enforcement actions, caught early.
SEC CAT reporting, MiFID II alignment, regulatory filing, and an immutable WORM audit trail.
A working screening console. Enter a name and it checks the sanctions and PEP lists, returns a clear / review / blocked decision with per-list hits, and seals the result — a near-but-not-exact hit drops confidence below 0.80 and routes to human review, exactly as the live agent does. (Screens an illustrative in-browser watchlist; production hits live OFAC + EU.)
The name is screened against live OFAC SDN, EU Consolidated and SEC EDGAR — each hit carrying its source URL and an honest real_backend_resolved marker.
Fuzzy near-hits drop confidence below 0.80 and route to a human; exact hits block. The decision, and its rationale, are recorded.
A D-KaP v26 body seal (Ed25519 + ML-DSA-87 + SLH-DSA-128f) under an IBM Key Protect HSM — re-checkable offline against published keys.
/seal/pubkeys; 11 IBM Quantum Heron r2 job IDs; an immutable 7-year WORM trail; data-minimization (no raw PII persisted). Not claimed: no quantum speedup — the production compliance path runs classically. It is exactly 10 tools.Add FinCompliance AI to your watsonx Orchestrate workspace, or let the Prompt Builder wire it into a screen-decide-file chain.