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Daily OperationsLighthouse + NAIA

Compliance Check

Daily regulatory compliance scan across all accounts, trades, and communications.

45-90 seconds
Avg. Duration
Daily at 6:30 AM ET
Schedule
4 systems
Integrations
compliance-daily-check

Input Schema

FieldTypeRequired
advisor_idstring
dateISO 8601
portfolio_scopestring[]optional

Output Schema

FieldTypeDescription
briefingStructuredReportFormatted briefing with sections
alertsAlert[]Priority-ranked action items
calendar_contextMeetingPrep[]Today's meetings with prep notes

Sample NAIA Conversation

Advisor

Run compliance check for my book.

NAIA

Starting Compliance Check. I'll pull data from your connected systems and have results ready in about 45 seconds.

NAIA

Compliance Check complete. Daily regulatory compliance scan across all accounts, trades, and communications. I found 3 items that need your attention. Want me to walk through them?

Advisor

Yes, start with the highest priority.

NAIA

The top priority item has been flagged for review. I've prepared a detailed analysis with recommended next steps. Shall I draft a client communication or schedule a follow-up?

Connected Systems

CRM (Salesforce, Redtail, Wealthbox)
Portfolio Management (Orion, Black Diamond)
Calendar (Outlook, Google)
Market Data (Bloomberg, Refinitiv)

Execution

ScheduleDaily at 6:30 AM ET (configurable)
Avg. Duration45-90 seconds

Compliance

SOC 2 Type II audit trail
Data encrypted at rest and in transit
Role-based access control

Less busywork. More advising.