ComplianceDesk

ComplianceDesk Agent¶

AML, FATCA, sanctions screening, and regulatory compliance verification specialist.

Configuration¶

Property	Value
Name	`ComplianceDesk`
Industry	Cross-Domain (Financial Services)
Entry Point	No
Handoff Trigger	`handoff_compliance_desk`
Voice	`en-US-EchoTurboMultilingualNeural`

Source: apps/artagent/backend/registries/agentstore/compliance_desk/agent.yaml

Capabilities¶

AML (Anti-Money Laundering) verification
FATCA compliance checks
Sanctions screening
Regulatory requirement review
Transaction compliance clearance

Tools¶

Compliance Verification¶

Tool	Purpose
`get_client_data`	Retrieve client information for compliance
`check_compliance_status`	Check AML/FATCA status
`search_knowledge_base`	Compliance regulations lookup

Handoffs¶

Tool	Destination Agent
`handoff_to_trading`	Trading desk for execution
`handoff_transfer_agency_agent`	Transfer agency specialist
`handoff_concierge`	BankingConcierge

Escalation¶

Tool	Purpose
`escalate_human`	Transfer to compliance officer
`escalate_emergency`	Urgent compliance issue

Handoff Graph¶

flowchart LR CD[ComplianceDesk] Trading --> CD TA[Transfer Agency] --> CD CD --> Trading CD --> TA CD --> BC[BankingConcierge] CD --> H[Compliance Officer]

Voice Configuration¶

voice:
  name: en-US-EchoTurboMultilingualNeural
  type: azure-standard
  rate: "-4%"

Note: Uses a slightly slower rate for clarity on regulatory matters.

Prompt Template¶

Located at: apps/artagent/backend/registries/agentstore/compliance_desk/prompt.jinja

Context Variables¶

Variable	Description
`caller_name`	Authenticated caller name
`client_id`	Client identifier
`transaction_type`	Type of transaction being reviewed
`transaction_amount`	Amount for threshold checks
`jurisdiction`	Relevant regulatory jurisdiction

Usage Scenarios¶

Transaction Compliance Flow¶

Trading desk needs compliance clearance
Hands off to ComplianceDesk with transaction details
Agent runs AML/sanctions checks
Clears or flags transaction
Returns to trading desk

FATCA Review Flow¶

Transfer agency flags FATCA question
Hands off to ComplianceDesk
Agent reviews foreign tax compliance
Provides guidance or escalates to officer

Sanctions Screening¶

High-value transaction initiated
ComplianceDesk screens against sanctions lists
Clears or holds for manual review

Compliance Context¶

This agent operates in sensitive regulatory space:

AML - Anti-Money Laundering (Bank Secrecy Act)
FATCA - Foreign Account Tax Compliance Act
OFAC - Office of Foreign Assets Control sanctions
KYC - Know Your Customer requirements

Regulatory Notes¶

All compliance decisions are logged
Escalate ambiguous cases to human officers
Never override sanctions hits programmatically

BankingConcierge - Return for non-compliance matters
Trading desk (custom) - Transaction execution
Transfer agency (custom) - Account transfers