Governed autonomy for compliance — approval-bound by design
RACA (Autonomous Compliance Agents) extends RegNovaIQ with agents that package investigations, evaluate compliance posture, and triage regulatory change. Every agent is tenant-scoped, policy-gated, and bounded by a human approval handoff for any material action. This paper is candid about what ships today and what is on the roadmap.
Document profile
- Audience: CCO, MLRO, compliance engineering, platform & security architects
- Scope: agent surfaces, governance boundaries, evidence model, and build status
- Principle: autonomy is bounded — agents prepare, humans approve
- Honesty: capabilities are labelled shipping or roadmap throughout
Compliance work is high-volume, repetitive, and evidence-heavy
Investigations assemble the same artifacts, regulatory change demands the same triage, and posture drift is found late. RACA automates the preparation — assembling case packages, drafting narratives, and routing change impact — so analysts spend their time on judgment, not assembly. The agents never replace the human decision; they make the decision faster and better-evidenced.
Design tenets
- Agents prepare; humans approve. No material action without a sign-off boundary.
- Every agent output is tenant-scoped and carries its evidence with it.
- Autonomy is observable: orchestration packets, coverage, and impact are visible to operators.
- Customer tenants see a governed, customer-safe surface — never internal-only tooling.
Four boundaries that keep autonomy accountable
Approval boundary
Agents assemble drafts, packets, and recommendations. The transition from recommendation to action — a filing, a policy change, a promotion — passes through an explicit human approval gate.
Tenant boundary
Every agent runs inside one tenant's isolation boundary. Context, evidence, and outputs never cross tenants; the customer-safe workspace exposes only that tenant's governed view.
Policy boundary
Agent actions are gated by the same policy and RBAC controls as the rest of the platform. What an agent may touch is what the invoking role may touch.
Evidence boundary
Each agent package is backed by deterministic provenance — inputs, model version, and policy context — so any output can be reviewed and replayed.
What the agents do
RACA is exposed through operator workbenches (full orchestration view) and customer-safe workspaces (governed, tenant-scoped view).
Autonomous investigation packaging
Assembles governed case packages — module summaries, SAR draft scaffolds, and review queues — grounded in case evidence, with the approval handoff preserved.
Regulatory-change autopilot
Triages regulatory change into impact packets with reviewer routing, source-adapter context, and remediation-handshake contracts for controlled execution.
Compliance-mesh posture
Evaluates compliance posture and surfaces drift, with rollback-aware remediation previews — so teams see exposure before it becomes an incident.
Unified risk assessment (AURA)
Produces entity-level unified risk profiles by aggregating signals across products, with confidence-interval reporting on the output.
Operator orchestration
Admin workbenches expose the swarm overview, orchestration packets, deployment-impact gates, and internal code-intelligence coverage.
Code intelligence for release governance
Tenant-partitioned code-context graph backs deploy-impact gating and promotion-safe release review on internal and customer-safe surfaces.
Every agent output is reproducible
RACA packages inherit the platform's evidence model: inputs, model version, and policy context are captured and replayable, and evidence bundles are hashed and anchored so an audit pack is provably untampered. Rollback-aware metadata accompanies release-governance actions.
What ships with every package
- Deterministic decision provenance (inputs, model version, policy context).
- Tenant attribution and role/approval trail.
- Hash-anchored evidence bundles for tamper-evidence.
- Rollback-aware release metadata for governance actions.
The same controls as the rest of the platform
Multi-tenant isolation
Agents execute within per-tenant boundaries; row-level isolation and tenant-scoped access apply to every agent read and write.
RBAC & strong auth
Agent invocation and operator surfaces are governed by RBAC, with WebAuthn/FIDO2 step-up available for sensitive operator actions.
Auditability
Agent actions are written to the end-to-end audit trail with full attribution, alongside every other platform action.
Shipping today vs on the roadmap
We label capabilities honestly. The following reflects the current platform.
| Capability | Status | Notes |
|---|---|---|
| Autonomous investigation packaging | Shipping | Governed case packages, SAR draft scaffolds, review queues — approval-bound. |
| Regulatory-change autopilot | Shipping | Impact packets with reviewer routing and remediation-handshake contracts. |
| Compliance-mesh posture evaluation | Shipping | Posture and drift surfacing with rollback-aware remediation previews. |
| Unified risk assessment (AURA) | Shipping | Entity-level profiles, cross-product aggregation, confidence intervals. |
| Operator orchestration & code intelligence | Shipping | Swarm overview, orchestration packets, deploy-impact gating, tenant-partitioned code graph. |
| Full multi-agent swarm orchestration | Roadmap | Core orchestrator and investigator exist; the broader multi-agent ecosystem is being expanded. |
| Automated self-healing remediation | Roadmap | Drift detection ships today; closed-loop automated remediation remains human-gated and is being extended. |
See RACA on your data, under your controls
We will walk through the agent surfaces, the approval boundaries, and the evidence model against a representative slice of your compliance workflow.