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Claude Cowork
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Claude Cowork · Compliant AI for Finance

Get Claude
deployed,
audited, and
compliant.

Deploy Anthropic's Claude inside your firm with every prompt immutably logged, every response auditable, and every workflow aligned to SEC Rule 17a-4 and FINRA requirements — out of the box.

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lexai-audit · live
PROMPT AUDIT LOG — IMMUTABLE · WORM
09:14:32Z
E. Walsh · Analyst
Summarize risk factors in 10-K filing Q1 2026…
✓ Passed
09:31:07Z
S. Miller · Portfolio Mgr
What is the DCF implied price target for AAPL…
⚑ Flagged
10:02:44Z
J. Park · Compliance
Draft CIM executive summary for Project Falcon…
◷ In Review
10:45:18Z
T. Bravo · IR
Review investor deck for forward-looking statements…
✓ Passed
247
Prompts Logged
100%
Retention Health
7yr
SEC 17a-4
100%
Prompt capture — every session
7 yr
SEC 17a-4 retention enforced
0
Records deletable post-submission
The Compliance Gap

Every prompt is a liability
without a record.

Firms are adopting AI faster than their compliance frameworks can keep up.
The result is liability — not leverage.

📋

No Immutable Record

Off-the-shelf AI tools offer no WORM-compliant storage. When a regulator asks for the prompt that generated a client communication, you have nothing.

🚩

Investment Advice Creep

Analysts prompt Claude for "analysis" and get outputs indistinguishable from a recommendation. Without real-time flagging, it ships to clients unchecked.

🔐

No Access Governance

Unstructured AI access means anyone on the team can prompt the model with MNPI, client PII, or trade-sensitive data — with zero oversight or role controls.

⚖️

Regulatory Exposure

SEC's 2024 AI Staff Bulletin and FINRA guidance place AI-generated communications squarely in scope for supervision. The question is when, not if, you're examined.

Data compliance dashboard
Our Method

Deployed and compliant,
the right way.

We configure Claude with your firm's supervision requirements baked in — so every prompt is logged, every output is scanned, and every record is retained before your team sends a single message.

Discovery & Scoping — Map your workflows, user roles, and existing compliance stack.
Configuration — System prompt, role-based access, flagging rules, and retention tiers set up to your policy.
Audit Infrastructure — WORM-compliant storage wired in. Every prompt and response immutably timestamped and hashed.
Compliance Review Layer — Real-time MNPI, PII, and investment-advice detection. Flagged outputs held for supervisor approval.
Go Live & Monitor — Your team uses Claude. Compliance gets a live dashboard. Regulators get an audit trail on demand.
✓ Fast deployment ✓ WORM-compliant ✓ Role-based access ✓ Real-time flagging ✓ Regulator-ready export
Finance Use Cases

The workflows your analysts already use — now auditable.

Claude Cowork is preconfigured for the three highest-risk, highest-value AI use cases in regulated financial services.

Research
Research & Analysis

Equity & Credit Research Drafting

The Problem

Analysts draft research memos and CIMs using AI — but every draft is a potential unregistered investment recommendation. Without a compliance layer, outputs skip review and go directly to clients or deal teams.

What Claude Cowork Adds
✓Every draft prompt logged with analyst identity, timestamp, and SHA-256 hash
✓Real-time detection of language that constitutes a securities recommendation — held for CCO review
✓Mandatory "AI-generated — not investment advice" disclaimer injected on every output
✓Full 7-year retention per SEC Rule 17a-4 — exportable for FINRA examination on demand
The Problem

Compliance teams spend days manually reviewing AI-assisted communications for MNPI, forward-looking statements, and fair disclosure obligations before earnings or transaction announcements.

What Claude Cowork Adds
✓Pre-submission scan identifies MNPI and Reg FD exposure before content leaves the firm
✓Dual-control workflow: flagged prompts require second compliance officer approval before response releases
✓Audit chain links the original prompt to every downstream communication — one click from regulator request to full record
✓XBRL and CSV export formats match standard SEC submission requirements
Legal compliance
Communications Compliance

MNPI & Reg FD Review Automation

Due diligence
Deal Execution

M&A Due Diligence & CIM Generation

The Problem

Deal teams use Claude to synthesize data room documents, draft CIMs, and create management presentations — all containing confidential, deal-sensitive information. No firm-grade access controls means any analyst can prompt with carve-out details.

What Claude Cowork Adds
✓Deal-level access scoping — only authorized team members can prompt with confidential project data
✓PII auto-redaction before prompts leave your perimeter — client names, financial identifiers scrubbed in transit
✓All CIM drafts logged against deal code — full chain of custody for every document generation event
✓Configured on claude-opus-4-7 for highest accuracy in complex financial document synthesis
Regulatory Coverage

Mapped to every framework
that matters to your CCO.

Claude Cowork is designed around the specific recordkeeping, supervision, and cybersecurity obligations applicable to registered broker-dealers, investment advisers, and alternative asset managers.

SEC 17a-4
Records Retention
✓ Covered
FINRA 4370
Business Continuity
✓ Covered
FINRA 3110
Supervision
✓ Covered
Reg BI
Best Interest
✓ Covered
Reg FD
Fair Disclosure
✓ Covered
SEC AI Bulletin
2024 Staff Guidance
✓ Covered
SOC 2 Type II
Security & Availability
✓ Covered
NFA 2-36
Cybersecurity
⚠ In Progress
Proven Outcomes

What firms actually get.

Measured results from LexAi-deployed Claude configurations at regulated financial services firms.

100%
Prompt Capture Rate

Every AI interaction logged from day one — no gaps, no shadow usage. Complete audit trail from the moment of deployment.

Fast
Time to Compliance-Ready

From kickoff call to live, auditable Claude deployment — including system prompt, role setup, and retention configuration.

60%
Reduction in Compliance Review Time

Real-time flagging eliminates manual first-pass review. Compliance teams review exceptions, not every output.

7 yr
Retention — Zero Effort

WORM storage automatically enforced. No manual archiving. Regulator requests fulfilled in minutes, not days.

0
Shadow AI Incidents

Role-based access controls eliminate unsanctioned Claude usage. Every seat is tracked, every session is logged.

1-click
Regulator-Ready Export

XBRL, CSV, and JSON export formats. Full audit chain from prompt to downstream communication — ready for FINRA examination.

Why LexAi

We built this because the
gap was real.

Most AI vendors sell you the model. Nobody sold financial firms the compliance layer that makes the model usable. We closed that gap — the right setup, done properly, without the months-long IT project.

✓Model-agnostic: Claude today, any model tomorrow — compliance layer travels with you
✓Your CCO gets a live dashboard, not a quarterly report
✓No new software to learn — interfaces with the tools your analysts already use
✓Ongoing support through regulatory changes — we update your config when guidance shifts
Financial district

Ready to deploy Claude the
right way?

Start with a 30-minute discovery call. We'll map your highest-risk AI workflows and show you exactly what a compliant Claude deployment looks like for your firm.

Book a Discovery Call