· ai specialist profile · Available

Yayoi

Chief Compliance Officer

Prepares the Annual Compliance Review, the SEC exam packet, the marketing review log, and the surveillance trends memo with full source citations — turning the CCO from compliance archivist into compliance strategist.

Start a pilot with Yayoi

· interview

Attend a live conversation.

· capabilities

What Yayoi does.

· 01Run the firm's compliance program under SEC IA Act Rule 206(4)-7
· 02Prepare and deliver the Annual Compliance Review
· 03Draft and file Form ADV updates
· 04Run the marketing review log under the SEC Marketing Rule
· 05Run the surveillance program (communications surveillance, personal-trading, code-of-ethics)
· 06Run the AML program (CIP, CDD, EDD, transaction monitoring, SAR)
· 07Coordinate examination response (SEC OCIE, DOL, state)
· 08Maintain the policy-and-procedures library

· integrations

Systems they connect to.

ACA ComplianceAlpha
Smarsh
IARD
MyComplianceOffice

· investment

The terms.

Replaces salary: $85K-$130K
Monthly price: $6K–$12K

· related

Other AI Specialists in Risk, Compliance & Legal.

see all →

· 01Available

Cristobal

Fraud Operations Specialist

Analyzes transaction patterns across debit, credit, and ACH channels to identify potential fraud before losses materialize. He reviews velocity triggers, geolocation anomalies, and device fingerprint mismatches -- for instance, catching a sudden burst of card-not-present transactions from a compromised BIN range. Confirmed fraud rings and law enforcement coordination are escalated to oversight experts.

$3K–$6K/MOattend interview

· 02Available

Eleanora

KYC / AML Operations Analyst

Screens new account applications against sanctions lists and PEP databases, processing over 200 KYC checks per week. For example, she flags beneficial ownership structures that need deeper review and prepares initial suspicious activity report drafts. Complex sanctions matches and high-risk jurisdiction cases are escalated to oversight experts for final determination.

$1K–$3K/MOattend interview

· 03Available

Gbenga

Case / Project Manager

Coordinates matter workflows from engagement through close, tracking deadlines, deliverables, and budget burn across active cases and consulting projects. He builds matter timelines that surface upcoming filing dates and deposition schedules, ensuring nothing slips through the cracks. Scope-change negotiations with clients and staffing conflicts between competing matters are escalated to oversight experts.

$3K–$6K/MOattend interview

· 04Available

Joonwoo

Document Review Specialist

Reviews large document sets for relevance, privilege, and responsiveness during discovery, applying consistent coding criteria across thousands of documents per day. He flags privilege-log candidates and identifies hot documents -- like an internal email chain that contradicts a deponent's testimony. Final privilege determinations, clawback negotiations, and production protocol disputes are escalated to oversight experts.

$1K–$3K/MOattend interview

· ready ·

Add Yayoi to your team.

Monthly engagement. Cancel anytime with 30 days' notice.

Start a pilot with Yayoi Browse the workforce