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Multiplayer AI to get all things compliance done better, faster.

Use Cases

Policy guidance

Ask plain-language questions about firm policies — gifts and entertainment, outside business activity, personal trading, political contributions, and more — and get a specific answer grounded in your firm's actual documentation. Every response cites the policy excerpt behind it, with clickable source references so you can verify it directly.

Purpose-built forms and workflows

Initiate and complete any compliance form configured on your firm's instance — Gifts & Entertainment, Political Contributions, Outside Business Affiliations, Private Investments, Public Securities, IPOs, and any form or workflow your team builds. Describe an entry in plain language or upload a document, and GreenboardGo drafts the submission with fields pre-filled. You review, refine, and click submit.

Trade approval automation

Pre-clear personal trades inside the conversation. GreenboardGo reads your firm's trading policy, checks the request against your existing positions and recent activity, and drafts a pre-clearance request with the right form pre-filled. If applicable, get auto-approval in seconds. Ambiguous cases route automatically; clear ones move forward without leaving chat.

Bulk data processing

Upload a spreadsheet (XLSX, XLS, CSV) or a PDF with tabular data, and GreenboardGo maps columns to form fields and drafts a series of individual submissions that flow through your firm's existing compliance workflows. Edit drafts after creation, switch forms if the wrong one was auto-detected, and skip the one-by-one entry.

Marketing review

Upload an ad, social post, deck, or any piece of marketing content and run a compliance review against your firm's configured content rules — including FINRA 2210 and SEC marketing rules. Walk through findings conversationally, get reword suggestions for flagged passages, and move directly into your standard review flow with the submission already pre-filled.

ADV & U4 repository

Read and maintain the disclosures behind your Form ADV and Form U4 inside the same conversation. Update job titles, registrations, licenses, designations, employment history, education, and outside affiliations — and manage nested entries like prior employment without leaving chat. Your repository stays current; your filings stay accurate.

Brokerage connections

Ask which brokerage and financial accounts are connected, and initiate new connections directly from chat. GreenboardGo opens the connection dialog for you — Open Banking or AI-powered Statement Extraction — so adding a new account is a single in-conversation step instead of a hunt through settings.

eComms connections

Connect the channels your firm needs supervised — LinkedIn, WhatsApp, Telegram, YouTube, Instagram, Facebook — through native flows initiated right from chat. List what's already connected, see what's missing, and add the rest without leaving the conversation.

Compliance data queries

Ask specific questions about your own compliance data — "Do I hold AAPL?", "What gifts over $100 have I reported?", "Show me my open action items" — across public and private holdings, IPO allocations, outside affiliations, gifts, political contributions, action items, and more. Results display as a table or a summary, whichever is most useful.

Compliance person escalation

When a question is ambiguous, novel, or simply better answered by a person, GreenboardGo routes it to your firm's internal compliance team — with the original question, the relevant policies, and the conversation context attached. Sentiment-aware triggers route conversations to a human when they should be, by default.

Outsourced compliance expert help

If your program runs through a compliance consultant or an OCCO provider, GreenboardGo escalates to them on the same basis as it would to an internal team — inside the same thread, with context preserved. Multi-tenant separation keeps each client's program walled off from the next.

Greenboard support built in

Product or technical questions don't need a separate channel. GreenboardGo can escalate directly to Greenboard support from inside the conversation, with a clear summary of the issue. One interface for compliance questions, configuration help, and platform support.

Multimodal processing

GreenboardGo works with whatever you bring it — text, spreadsheets, PDFs, images, marketing decks, screenshots of email threads. Drop a document into the conversation and the system parses it, extracts the relevant data, and routes it to the right workflow. The interface is text; the inputs don't have to be.