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Most compliance teams have a thorough, carefully maintained handbook sitting in a shared drive. Detailed gift and entertainment policies, outside business activity rules, social media guidelines built from years of regulatory guidance and internal experience. Then, their supervision tool reduces it to a keyword list, and the compliance team spends its time reviewing alerts that have nothing to do with real risk. The handbook – painstakingly tailored to your business - is obsolete.
This is a technology problem. Supervision tools were built around keywords and rules, not policies. They cannot read your handbook because they were never designed to. The compliance team writes one set of rules on paper and enforces a different, weaker set in practice. Policies become aspirational, and enforcement becomes a best effort.
Mira was built to close that gap.
Supervision That Starts With Your Handbook
Drag your compliance handbook into Mira. Within minutes, a tailored set of supervision policies, grounded in your firm's own standards and informed by a decade of SEC and FINRA enforcement decisions, is live and reviewing every message your advisors send. No six-month implementation, no professional services engagement, no manual keyword lists to maintain.
Upload the document and Mira reads it as written, maps its policies to relevant regulatory precedent, and begins supervising from there.
The Difference Contextual Judgment Makes
A traditional lexicon flags a word and routes the alert. Mira reads your G&E policy, understands that your firm caps entertainment at $250 per person, and knows that four tickets to a playoff game runs well beyond that. When an advisor is arranging something that crosses the threshold, Mira flags a potential violation. When the conversation is routine, it does not. That distinction is what a compliance officer makes every day when they review communications manually. Mira makes the same distinction, at volume, across every channel.
The result is supervision that reflects what the firm intended when it wrote its policies, not a compressed version of those policies translated into keywords.
Less Noise, More Remediation
Early Mira customers have seen an 80% reduction in time spent on communications review, while remediating more issues, not fewer. The volume of alerts goes down because the noise goes down. What surfaces instead are the communications that genuinely warrant a second look - not because they are necessarily violations, but because they require the kind of judgment a keyword can never make. Reviewers stop triaging and start doing the work that needs them.
When Mira identifies something that requires human attention, it routes it to the right reviewer, applies the firm's escalation logic, and builds a full audit trail as supervision happens, not reconstructed after the fact when an examiner asks for it.
From Compliance Handbook to Enforced Policy
Writing a thorough compliance handbook is a significant undertaking. Supervision that reflects it, consistently and at scale, used to require a professional services engagement just to get started. Mira changes that calculation entirely.
Upload the document once, and the policies you wrote are the policies being enforced across every message your advisors send. As your handbook evolves, so does your supervision.
To see Mira in action, book a demo above.
