Maintaining consistent quality and regulatory compliance in case management is a persistent challenge for customer service operations. Manual spot checks are time-consuming, prone to human error, and often fail to catch every exception, leading to rework, missed compliance issues, and potential customer dissatisfaction. Organizations face operational inefficiencies, increased regulatory scrutiny, and difficulty producing audit-ready documentation.The Case Compliance Surveillance Agent addresses these challenges by delivering continuous, automated oversight across case records, resolution logs, customer feedback, and compliance checklists. It evaluates both structured and unstructured data sources—including regulatory requirements, case communications, attachments, industry bulletins, and resolution notes—to validate adherence to compliance protocols. True exceptions are flagged and routed to human reviewers, while the agent automatically generates audit artifacts and closure documentation, ensuring every case is managed with traceability and regulatory alignment.Using LLM capabilities, the agent interprets unstructured inputs, evaluates adherence to established protocols, and flags anomalies with accuracy. By automating routine case reviews, it reduces manual workload, supports consistent policy enforcement, and allows teams to focus on higher-priority tasks. The result is improved operational efficiency and reliable audit-ready case management.
Accuracy
TBD
Speed
TBD
Sample of data set required for Case Compliance Surveillance Agent:
Case Resolution File: 735109
Case Summary
14:15 UTC: Initial contact from customer Maria Garcia regarding a $450 transaction from "GlobalRetailers Online" she does not recognize. Customer sounded distressed.
14:20 UTC: Performed identity verification using security questions and two-factor authentication code sent to registered mobile. Verification successful.
14:25 UTC: Placed a temporary hold on the customer's card to prevent further unauthorized charges. Confirmed with customer.
14:40 UTC: Initiated formal fraud investigation case (Sub-Case ID: F-735109-A). Logged the disputed transaction details.
15:10 UTC: As per policy FIN-SEC-04B, a provisional credit of $450.00 has been issued to the customer's account.
16:30 UTC: Outbound call to customer. Informed her that a provisional credit has been applied and a new card will be issued within 5-7 business days. Confirmed her mailing address.
16:45 UTC: Customer confirmed understanding and expressed satisfaction with the quick action. Case marked as resolved pending final outcome of fraud investigation.
From: support@stellarfinancial.com To: m.garcia.email@email.com Subject: Regarding your recent inquiry (Case #735109)
Dear Ms. Garcia,
This email is to confirm the details of our conversation today. As discussed with agent David Chen, we have opened an investigation into the disputed charge of $450.00.
A provisional credit for this amount has been applied to your account while the investigation proceeds. A new card is being dispatched to your address on file and should arrive within 5-7 business days.
We take the security of your account very seriously and appreciate your patience.
Sincerely, Stellar Financial Group Support
Sample output delivered by the Case Compliance Surveillance Agent:
Case Compliance and Quality Audit Report
Case ID | Status | Recommendation |
---|---|---|
735109 | Compliance Pass (Minor Exception) | Flag for Supervisor Review |
This audit cross-references case actions against internal policies (FIN-SEC-04B) and external regulatory requirements (Federal Banking Regulation Part 205).
Compliance Checkpoint | Policy Reference | Status | Notes |
---|---|---|---|
Customer Identity Verification | FIN-SEC-04B, Sec 1.1 | PASS | 2FA and security questions were used as documented. |
Temporary Account/Card Suspension | FIN-SEC-04B, Sec 2.3 | PASS | Agent placed a temporary hold on the card. |
Provisional Credit Issuance | Reg. Part 205.11(c) | PASS | Provisional credit was issued within the 10-day requirement. |
Formal Investigation Initiated | FIN-SEC-04B, Sec 2.5 | PASS | Sub-case F-735109-A was created. |
Final Resolution Timeline Communication | Reg. Part 205.11(d)(2) | WARNING | Agent did not communicate the mandatory investigation timeframe. |
Required Documentation Attached | FIN-SEC-04B, Sec 4.1 | PASS | All required documents (ID, Transaction, Auth) are present. |
Customer Notification of Resolution | FIN-SEC-04B, Sec 3.4 | PASS | Customer was notified via phone and email. |
Audit_Trail_Case-735109.csv
Case_Closure_Summary_735109.pdf
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