Forward to: Compliance Team

Compliance Monitoring
Workflows

Ten agent workflows for the Compliance Team — sanctions screening automation, AML domain analysis, KYC digital verification, corporate governance monitoring, beneficial ownership mapping, regulatory filing tracking, cross-border compliance assessment, PEP screening, trade compliance monitoring, and whistleblower intelligence — providing domain-level intelligence that strengthens compliance programs.

1Sanctions Screening & Evasion Detection

AI agent screens entities against sanctions lists and detects evasion patterns by analyzing domain registration patterns, corporate structures, and geographic indicators that reveal hidden connections to sanctioned parties.

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Screen Entity Domains Against Sanctions
/about /leadership /contact Countries Domain Ages Web Filtering
SANCTIONS SCREENING — COUNTERPARTY DUE DILIGENCE ════════════════════════════════════════════════════════════ ENTITY: Meridian Trading Group Ltd DOMAIN: meridian-trading-group.com SCREENING RESULT: HIGH RISK — Sanctions evasion indicators DOMAIN INTELLIGENCE: Domain Age: 234 days | Country: UAE (hosting), registered Seychelles /about: "Global commodities trading" — vague description /leadership: No names listed — opaque governance /contact: Dubai address, Cyprus phone number Web Filtering: Business / Unverified SANCTIONS EVASION INDICATORS: 1. Registered in Seychelles — common sanctions evasion jurisdiction 2. No leadership disclosure despite corporate website 3. Mixed geographic indicators (UAE/Cyprus/Seychelles) 4. "Commodities trading" — sector frequently used for sanctions evasion 5. Cross-reference: Domain shares IP range with OFAC-listed entity
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Assess Sanctions Risk Level
Sanctions Risk
Shared Infrastructure with SDN Entity — meridian-trading-group.com shares hosting IP range with petromax-global.com, an entity on OFAC's SDN list since 2024. Combined with Seychelles registration, opaque governance, and UAE/Cyprus nexus, this entity presents severe sanctions evasion risk requiring SAR filing.
CRITICAL — Shared infrastructure with SDN-listed entity
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Generate Compliance Alert

Sanctions Screening Alert

COMPLIANCE ACTION REQUIRED ──────────────────────────────────────── Entity: Meridian Trading Group Ltd Risk level: CRITICAL | SDN proximity: Shared infrastructure Evasion indicators: 5 of 5 red flags present REQUIRED ACTIONS 1. Immediately escalate to Chief Compliance Officer 2. File Suspicious Activity Report (SAR) within 30 days 3. Block all pending transactions with this entity 4. Notify OFAC compliance team for enhanced review 5. Document domain intelligence evidence for regulatory record

2KYC Digital Verification & Enhanced Due Diligence

AI agent performs digital KYC verification by analyzing entity web presence, corporate structure indicators, and digital footprint authenticity to verify client identity claims and detect potential fraud.

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Verify Entity Legitimacy Through Domain Analysis
/about /leadership /legal /security Domain Ages OpenPageRank
KYC VERIFICATION — NEW CLIENT ONBOARDING ════════════════════════════════════════════════════════════ CLIENT A: Verified Legitimate — Sterling Financial Advisors sterlingfinancial.com Domain Age: 5,840 days (16 years) | PageRank: 6.4 /about: Detailed history, registered SEC investment advisor /leadership: Full team with verifiable credentials /legal: Comprehensive disclosures, ADV Part 2 linked /security: SOC2 certified, privacy policy detailed /compliance: FINRA BrokerCheck link provided VERIFICATION: PASSED — All KYC indicators positive CLIENT B: Verification Failed — Apex Global Ventures apex-global-ventures.com Domain Age: 47 days | PageRank: 0.1 /about: Generic text, no verifiable details /leadership: Stock photos detected for "executive team" /legal: Copied from unrelated company's website /security: Not present VERIFICATION: FAILED — Shell company indicators
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Generate KYC Verification Report

KYC Verification Report

VERIFICATION SUMMARY ──────────────────────────────────────── Sterling Financial: PASSED — 16-year domain, verified leadership Apex Global Ventures: FAILED — 47-day domain, shell indicators ENHANCED DUE DILIGENCE TRIGGERS 1. Domain age under 180 days — automatic EDD trigger 2. No verifiable leadership — identity fraud risk 3. Copied legal terms — suggests hastily created entity 4. Recommend declining Apex Global Ventures engagement

3AML Domain Intelligence & Transaction Monitoring

AI agent monitors domain-level indicators of money laundering activity — tracking shell company webs, suspicious transaction infrastructure, and financial service domain patterns to identify AML risks.

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Detect Shell Company Networks
/about /contact /legal Countries Domain Ages OpenPageRank
AML SHELL COMPANY NETWORK DETECTION ════════════════════════════════════════════════════════════ NETWORK IDENTIFIED: 12 interconnected domains PATTERN: Layered shell company structure SHELL NETWORK: pacific-holdings-corp.com → /contact: British Virgin Islands atlantic-ventures-ltd.com → /about: References Pacific Holdings nordic-capital-mgmt.com → /legal: Same legal terms as Pacific southern-trading-group.com → Same hosting IP as all above All 12 domains: PageRank <0.5 | Domain Age <1 year All share: Same registrar, similar naming convention, no /leadership /contact: All list different jurisdictions (BVI, Cayman, Panama, Malta) PATTERN: Classic layered shell company structure for fund layering
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Generate AML Alert Report

AML Intelligence Alert

SHELL NETWORK ANALYSIS ──────────────────────────────────────── Entities in network: 12 | Jurisdictions: BVI, Cayman, Panama, Malta Shared infrastructure: 100% | Legitimate indicators: None Risk level: CRITICAL — Layered shell company structure COMPLIANCE ACTIONS 1. File SAR for all 12 entities immediately 2. Block transactions involving any network entity 3. Notify FinCEN and relevant foreign FIUs 4. Domain intelligence provides evidence chain for investigation

4Corporate Governance Monitoring

AI agent monitors corporate governance indicators across client entities by tracking leadership changes, board composition, governance page updates, and organizational transparency signals for ongoing compliance assessment.

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Track Governance Changes Across Portfolio
/leadership /investors /compliance /sustainability OpenPageRank
GOVERNANCE MONITORING — CLIENT PORTFOLIO (240 ENTITIES) ════════════════════════════════════════════════════════════ GOVERNANCE ALERTS: client-alpha-corp.com /leadership: Board reduced from 9 to 5 members /compliance: Compliance page removed entirely /investors: Audit committee chair departed ALERT: Significant governance deterioration GOVERNANCE CHANGES: client-beta-financial.com /leadership: New CEO appointed, predecessor unlisted /compliance: Updated with new regulatory framework /sustainability: Added ESG reporting page MONITOR: Leadership transition in progress
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Generate Governance Monitoring Report

Governance Monitoring Report

QUARTERLY GOVERNANCE SCORECARD ──────────────────────────────────────── Entities monitored: 240 | Alerts triggered: 8 Critical governance changes: 3 | Moderate: 5 Improved governance: 12 | Stable: 225 PRIORITY ACTIONS 1. Client Alpha Corp — schedule governance review meeting 2. Assess impact of compliance page removal on regulatory status 3. Monitor Client Beta leadership transition progress 4. Domain intelligence detected changes 4-6 weeks ahead of filings

5Beneficial Ownership Intelligence

AI agent maps beneficial ownership structures by analyzing domain interconnections, shared infrastructure, leadership overlaps, and corporate relationship indicators across the 100M+ domain database.

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Map Beneficial Ownership Networks
/leadership /about /investors /legal Countries Domain Ages
BENEFICIAL OWNERSHIP MAPPING — ENTITY UNDER REVIEW ════════════════════════════════════════════════════════════ TARGET ENTITY: Quantum Dynamics LLC DECLARED UBO: "Various institutional investors" DOMAIN INTELLIGENCE — OWNERSHIP TRAIL: quantum-dynamics-llc.com → /about: "A portfolio company" → /legal: References "Atlas Management Group" as manager atlas-management-group.com → /leadership: Robert Chen, Managing Director → /about: "Family office and investment management" → /investors: Links to 4 additional portfolio companies chen-family-office.com → /about: "The Chen Family Investment Office" → Shared hosting with Atlas Management BENEFICIAL OWNER IDENTIFIED: Robert Chen Ownership chain: Chen Family Office → Atlas Management → Quantum Dynamics
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Generate Beneficial Ownership Report

Beneficial Ownership Report

OWNERSHIP CHAIN ──────────────────────────────────────── Declared UBO: "Various institutional investors" — VAGUE Actual UBO identified: Robert Chen (via domain analysis) Ownership layers: 3 (Family Office → Manager → Entity) CDD Category: Enhanced Due Diligence required COMPLIANCE ACTIONS 1. Update client file with identified UBO 2. Conduct PEP screening on Robert Chen 3. Verify 25% ownership threshold via corporate records 4. Domain intelligence reduced UBO identification from weeks to hours

6Regulatory Filing & Disclosure Monitoring

AI agent monitors regulatory disclosures and filing compliance by tracking changes to compliance pages, investor relations content, and regulatory references across client and counterparty domains.

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Monitor Regulatory Disclosure Changes
/compliance /investors /legal /press Web Filtering
REGULATORY DISCLOSURE MONITORING — Q1 2026 ════════════════════════════════════════════════════════════ ALERT: Disclosure Regression Detected client-finserv.com /compliance: GDPR compliance section removed /investors: Q3 2025 earnings report delayed 45 days /legal: Arbitration clause added (previously litigation) /press: Regulatory settlement mentioned in passing POSITIVE: Disclosure Enhancement Detected client-healthcare.com /compliance: Added HIPAA compliance certification /security: SOC2 Type II report linked /legal: Updated data processing agreements
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Generate Disclosure Monitoring Report

Regulatory Disclosure Report

DISCLOSURE MONITORING SUMMARY ──────────────────────────────────────── Entities monitored: 240 | Disclosure changes: 34 Regressions: 8 | Enhancements: 18 | Neutral: 8 PRIORITY ACTIONS 1. Client FinServ: GDPR compliance removal needs investigation 2. Delayed earnings filing may indicate accounting issues 3. Client Healthcare: Enhanced compliance — commend management 4. Domain monitoring detected changes 2-4 weeks before filings

7Cross-Border Compliance Assessment

AI agent assesses cross-border compliance obligations by analyzing entity domain presence across jurisdictions, identifying regulatory exposure gaps, and mapping data flow pathways that create compliance requirements.

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Map Cross-Border Data Flow Exposure
/legal /compliance /contact /security Countries
CROSS-BORDER COMPLIANCE MAP — CLIENT ENTITY ════════════════════════════════════════════════════════════ CLIENT: DataTech Solutions (claims US-only operations) DOMAINS ANALYZED: 14 UNDISCLOSED CROSS-BORDER EXPOSURE: datatech-eu.com — Hosted in Germany /contact: Frankfurt office | /compliance: No GDPR reference EXPOSURE: GDPR compliance required but not implemented datatech-india.in — Hosted in India /careers: 45 engineering positions in Bangalore EXPOSURE: Data flows to India require transfer safeguards datatech.com.au — Hosted in Australia /about: Sydney sales office EXPOSURE: Australian Privacy Act obligations triggered
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Generate Cross-Border Compliance Report

Cross-Border Compliance Assessment

COMPLIANCE GAP ANALYSIS ──────────────────────────────────────── Claimed jurisdictions: 1 (US) | Actual: 4 (US, EU, India, Australia) Compliance frameworks triggered: GDPR, IT Act, APPs Data transfer mechanisms needed: SCCs, BCRs REMEDIATION ROADMAP 1. Implement GDPR compliance for EU operations immediately 2. Establish standard contractual clauses for India data transfers 3. Register with Australian Privacy Commissioner 4. Domain intelligence revealed 3 hidden jurisdictions in minutes

8PEP Screening & Political Exposure Assessment

AI agent conducts Politically Exposed Person screening by analyzing leadership pages, government connections, and political relationship indicators across entity domains and their corporate networks.

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Screen for Political Connections
/leadership /about /partners /press Countries OpenPageRank
PEP SCREENING — NEW CLIENT ENTITY ════════════════════════════════════════════════════════════ sovereign-development-fund.com /leadership: Chairman — former Minister of Finance (Country X) /about: "Sovereign-linked development fund" /partners: 3 state-owned enterprises listed /press: Joint press releases with government ministry Country: Country X (elevated corruption index) PEP IDENTIFIED: Chairman is former government minister Political exposure level: SENIOR FOREIGN POLITICAL FIGURE Associated entities: 3 state-owned enterprises Enhanced due diligence required under BSA/AML regulations
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Generate PEP Screening Report

PEP Screening Report

PEP ASSESSMENT ──────────────────────────────────────── PEP identified: Yes — Senior Foreign Political Figure Role: Former Minister of Finance | Status: Left office 2023 SOE connections: 3 state-owned enterprise partnerships Corruption perception index: High risk jurisdiction COMPLIANCE REQUIREMENTS 1. Senior management approval required for relationship 2. Enhanced source of wealth documentation 3. Ongoing enhanced monitoring with quarterly reviews 4. Domain analysis provides continuous PEP monitoring capability

9Trade Compliance & Export Control Monitoring

AI agent monitors trade compliance and export control risks by analyzing entity product pages, partner ecosystems, geographic presence, and technology descriptions to identify potential export control violations.

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Screen for Export Control Violations
/products /partners /about Countries IAB Categories
EXPORT CONTROL SCREENING — CLIENT VENDOR CHAIN ════════════════════════════════════════════════════════════ ALERT: Potential EAR Violation Detected client-vendor-xyz.com /products: Advanced semiconductor testing equipment (ECCN controlled) /partners: Lists tech-solutions-cn.com — China-based distributor /about: "Serving customers in 45 countries" tech-solutions-cn.com /about: Based in Shenzhen, China /products: Resells controlled semiconductor equipment /partners: Lists 3 entities on BIS Entity List VIOLATION RISK: Controlled items flowing to Entity List companies via China-based distributor in vendor supply chain
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Generate Trade Compliance Alert

Export Control Alert

TRADE COMPLIANCE FINDING ──────────────────────────────────────── Risk: CRITICAL — Potential EAR violation in supply chain Controlled items: ECCN-classified semiconductor testing equipment End-user concern: 3 BIS Entity List companies in distribution chain Jurisdiction: China (Shenzhen) REQUIRED ACTIONS 1. Immediately halt shipments to vendor pending review 2. File voluntary self-disclosure with BIS if violation confirmed 3. Audit entire vendor supply chain for export control compliance 4. Domain intelligence identified risk before product shipped

10Compliance Program Effectiveness Assessment

AI agent evaluates compliance program effectiveness across client entities by benchmarking digital compliance indicators against industry peers — comparing compliance page depth, governance transparency, and regulatory disclosure quality.

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Benchmark Compliance Programs by Sector
/compliance /security /legal /sustainability IAB Categories OpenPageRank
COMPLIANCE PROGRAM BENCHMARKING — FINANCIAL SERVICES ════════════════════════════════════════════════════════════ SECTOR: Financial Services | COMPANIES BENCHMARKED: 450 CLIENT vs. SECTOR AVERAGE: Client /compliance page depth: 8/10 vs Sector avg: 5.4/10 Client /security certifications: SOC2 + ISO 27001 vs avg: SOC2 only Client /legal transparency: 7/10 vs avg: 4.8/10 Client /sustainability ESG: 4/10 vs avg: 6.2/10 Client governance disclosure: 8/10 vs avg: 5.1/10 OVERALL: Client ranks in top 15% for compliance transparency GAP: ESG/sustainability reporting below sector average
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Generate Compliance Effectiveness Report

Compliance Program Assessment

PROGRAM EFFECTIVENESS SCORECARD ──────────────────────────────────────── Overall score: 7.2/10 (top 15% of sector) Compliance pages: 8/10 | Security: 9/10 Legal transparency: 7/10 | ESG: 4/10 Governance: 8/10 IMPROVEMENT RECOMMENDATIONS 1. ESG reporting needs enhancement — below sector average 2. Compliance and security programs are sector-leading 3. Governance transparency exceeds regulatory expectations 4. Domain benchmarking provides objective, data-driven assessment
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