In this guide, you’ll learn how to use the AI Compliance Audit feature in LeadCenter.ai to automatically review and verify your contact records for compliance with FINRA and SEC regulations. This tool helps ensure all client information is complete, accurate, and compliant, while maintaining full data privacy.

Step 1: Access the Compliance Audit Tool

1. Log in to your LeadCenter.ai account.
2. Click on AI Assistant in the main menu.
3. Select Compliance Audit.

This will open the Compliance Audit page for the selected contact.

Step 2: Review the Automatic Compliance Checks

Once the page loads, the system automatically reviews all records related to that contact.

For example, it checks whether the contact has an investment account and whether key details, such as address, date of birth, or tax ID, are complete and up to date.

If any essential information is missing, it will be flagged under the compliance audit results. These fields are required for FINRA and SEC compliance.

Step 3: Run an AI Compliance Check

To analyze the record automatically using AI:

1. Click AI Check for Compliance.
2. Within a few seconds, the system will complete the review and display the results in a detailed table.

The results table lists:

• All issues identified.
• The key compliance requirement associated with each issue.
• The relevant regulation (FINRA or SEC).
• A recommendation for resolving each issue.

For example, if the Financial Planning Agreement date is missing, the system will show:

“Missing FP Agreement. The financial planning agreement date is missing.”
It will also provide the applicable rule reference and a recommendation for correction.

Step 4: Export Findings

You can export all audit findings for recordkeeping or compliance documentation.

• Click Export to Excel at the top right of the table.
• The report will download, allowing you to share or archive the compliance results for future reference.

Step 5: Data Privacy and Security

LeadCenter ensures complete privacy during AI analysis.
No personal or sensitive data is ever shared externally.

Instead of transmitting actual values, the system only shares metadata such as:

• Primary phone is valid
• First name and last name available
• Tax ID available
• Date of birth available

This means the AI only analyzes the status of fields, not the real data, guaranteeing full compliance and security while maintaining analytical accuracy.