Compliance Agent – Check approvals, segregation of duties and internal controls in your processes – in every case, not in samples
Checks every case against your policies – approval limits, four-eyes principle, segregation of duties – and backs up each finding.
What does the Compliance Agent do?
The Compliance Agent checks whether your processes follow the rules that apply to them: internal policies, approval limits, the four-eyes principle and segregation of duties. Instead of sampling, it checks every case in a perspective, finds violations and the patterns behind them, and names the rule that was broken for each finding. It takes the rules themselves from the Context Hub: you store your policies once, and the agent applies them in every check.
Questions the Compliance Agent answers
“Are there purchase orders created and approved by the same person?”
“Which invoices over €10,000 were paid without a second approval?”
“Where were purchase orders created after the invoice had arrived?”
“Summarize last quarter’s compliance findings for internal audit.”
How the Compliance Agent works
- 1
Read the rules
The agent reads the relevant policies from the Context Hub – approval limits, the four-eyes principle or segregation-of-duties rules – and turns them into testable conditions.
- 2
Check every case
It tests each condition against all cases in the perspective: sequence of steps, executing people or roles, amounts and timestamps.
- 3
Group the findings
It groups violations by rule, organizational unit and period and separates one-off cases from systematic patterns.
- 4
Document the evidence
Every finding points to the affected cases and the rule that was broken – traceable for internal and external auditors.
KPIs and methods
- Violation rate per rule
- Share of cases that break a specific rule.
- Segregation-of-duties conflicts
- Cases in which the same person performed incompatible steps.
- Missing approvals
- Cases above an approval limit without the required sign-off.
- After-the-fact purchase orders
- Purchase orders created only after the invoice arrived.
A practical example
Ahead of the year-end audit, internal audit asks for an overview of control violations in procurement. The agent checks every purchase order of the fiscal year against the approval policy and the segregation-of-duties rules, finds after-the-fact purchase orders and cases where the same person created and approved, and shows that they concentrate in one legal entity. It delivers the result as an Excel list of all affected cases and a short report.
Matching end-to-end processes
What you get
An overview of findings per rule with violation rates, a list of all affected cases for follow-up and, on request, a report for internal audit, the compliance team or process owners.
What data the agent needs
A perspective with the executing people or roles per activity and, depending on the rule, amounts and timestamps. You store the policies in the Context Hub – confidential rule sets can be restricted to local models.
Compliance Agent: frequently asked questions
What does a compliance agent check in business processes?
A compliance agent checks whether the actual process flows meet internal policies and external requirements – for example approval limits, the four-eyes principle, segregation of duties or the order of purchase order, goods receipt and invoice. Unlike a sample-based audit, it covers every case.
Does the agent replace internal audit?
No. It takes over the legwork: checking every case, grouping findings, compiling evidence. Assessing the findings and deciding on measures stays with the people responsible for them.
How does the agent handle confidential policies?
Entries in the Context Hub can be marked so that they are only processed by local models in Noreja’s infrastructure. On top of that, the agent only sees the perspectives and documents the person asking has access to.
Part of Minerva 2.0
The Compliance Agent is an agent in Minerva, the AI assistant in Noreja. It uses the same data sources, the same choice of model – local or cloud – and the same access rights: it only reads what you are allowed to see and changes nothing in Noreja.
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View agentSee what the Compliance Agent finds in your process data
In a demo we show you what answers the agent delivers on one of your processes – with numbers, reasoning and sources.
Book a demo