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Project Overview

Archive Intel partnered with Sphinx Solutions to develop an advanced AI Compliance Archiving System. The goal was to make electronic communication monitoring easier with Thor AI. The system uses automation, AI insights, and real-time risk checks to ensure regulatory compliance, particularly in the financial services sector.

To comply with strict SEC and FINRA rules, the system needed to efficiently capture, store, and review electronic messages from platforms such as iMessage, WhatsApp, Email, and Social Media. The project made managing compliance data easier with AI using risk detection, secure cloud storage, and real-time monitoring.

We used AI for risk detection and smart language analysis to reduce errors by 98%, making compliance checks more accurate. We also added real-time alerts, secure cloud storage, and flexible compliance tools to manage regulations faster, improve security, and work more efficiently.

Problem Statement

Archive Intel needed an effective system to help financial companies track, store, and review electronic messages while following SEC and FINRA compliance rules. The system had to capture real-time iMessage, WhatsApp, Emails, and Social Media data. The urge was to integrate AI to detect risks, automate compliance checks, and securely store data in the cloud.

Solution We Offered

We used AI to develop a compliance archiving system that ensures seamless electronic communication monitoring across multiple platforms. Compliance teams effectively manage regulations through real-time data capture, secure cloud storage (AWS SOC III), and AI-driven risk detection. We also integrated automated alerts, intuitive dashboards, and advanced reporting tools, allowing users to review and analyse compliance risks quickly. This would reduce manual work, lower errors, and make regulatory compliance more straightforward and efficient.

Clients Requirement

Multi-Platform Archiving: A system that can capture, store, and analyse real-time messages from iMessage, WhatsApp, Emails, and Social Media.

AI-Powered Risk Detection: AI compliance management system to automatically reduce false positives and flag potential violations.

Real-Time Alerts & Monitoring: Instant notifications for compliance teams to identify and address risks quickly.

Scalable & Secure Infrastructure: A cloud-based solution (AWS SOC III) ensures high security, reliability, and scalability.

Development Process

Compliance Research

Data Collection & Processing

AI Model Development & Training

System Architecture

Platform Development

Training & Deployment

Tools & Techniques

AI Implementation

Grasping Compliance
Needs:Cooperated with the Archive Intel team to learn the regulatory environment, sources of data, and the risk detection targets of AI.

Compliance System
ArchitecturePlanned a scalable and secure system integrating AI-powered monitoring, cloud storage, and real-time data processing.

Dashboard
DevelopmentDesigned a dashboard for compliance teams to review flagged communications, generate reports, and track risks efficiently.

Risk Detection
IntegrationAI models for compliance monitoring use machine learning and NLP techniques to improve accuracy and reduce false positives.

Testing & Security
ValidationExtensive testing was conducted to guarantee data accuracy, system performance, and regulatory compliance with SEC and FINRA standards.

Deployment &
Ongoing SupportLaunched the system with ongoing AI advancements, updates, and monitoring to satisfy changing compliance requirements.

Tools and Techniques

Front-End

Back-End

Database

AI Systems

Servers

A Sphinx Solution Perspective

As developers on the Archive Intel project, we helped create a safe and easy-to-use system that allows businesses to follow rules and stay compliant. We ensured the platform was simple to use, ran smoothly, and kept data secure. We aimed to make compliance faster and easier, helping Archive Intel avoid risks and comply with regulations.

Shubham Mahajan

Challenges

Risk detection had many false positives, as AI models flagged too many non-compliant communications, making manual reviews inefficient.

Ensuring regulatory compliance and security for strict regulations required data encryption, secure storage, and audit trails.

Multi-platform data Integration was complex because it involved capturing and analysing data from various sources (e.g., Emails, WhatsApp, and Social media) in real time.

Scalability and performance optimisation are needed to process large volumes of communication data without delays.

Solutions Delivered

Risk detection had many false positives, as AI models flagged too many non-compliant communications, making manual reviews inefficient.

As a compliance management software development company, we developed secure APIs and cloud-based data pipelines for multi-platform data archiving.

Built SOC-III compliant cloud infrastructure, implemented AES-256 encryption, and ensured role-based access controls for security.

Used AWS auto-scaling, optimised database queries, and real-time processing techniques to ensure high-speed performance and scalability.

Impact it Created

More Precise Compliance:98% reduction in false alerts so that teams only diagnose real risks and spend time identifying real ones.

Simple Tracking of Communication: Safeguards the compliance of the business's emails, WhatsApp messages, and social media messages for review.

Immediate Risk Alerts: Gave real-time warning so an organisation immediately finds and fixes problems before they blow up.

Strict Security and Smooth Operation: Cloud storage and a quick processor would have relatively safe, handy, and extensible data.

Customer Testimonial

“Joining hands with Sphinx Solutions has been a great decision, as they built an easy-to-use mobile app that connects perfectly with our IoT and AI-powered air purifiers. The app has simplified managing and tracking air quality for our users. Sphinx understood our needs, and we are thrilled about how this app will continue to help out customers grow our brand.”

Summing Up

Sphinx Solutions built an intelligent and secure AI-powered compliance system for Archive Intel. We integrated AI-driven risk detection, real-time alerts, and seamless data tracking to make compliance more straightforward and more accurate. With strong security and automation, our solution helps compliance officers complete their job with complete accuracy and reduced time without hassle.

AI-Powered Compliance, Simplified!!

Stay Ahead of Regulations with Smart, Secure, and Effortless Compliance

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FAQ

Questions & Answers

It monitors, detects, and archives electronic communications to ensure businesses follow SEC & FINRA regulations.

AI analyses message, detects risks, and reduces false alerts, making compliance faster and more accurate.

It works with emails, WhatsApp, iMessages, and social media to track and store communications securely.

Yes! It’s cloud-based and highly scalable, handling large volumes of data smoothly.

AI and automation accelerate compliance by detecting real-time risks and reducing false alerts. They also streamline workflows, ensure regulatory adherence, and improve efficiency with minimal manual effort.