# Working with AI Agents: Your Guide to RuleWise's Specialized Assistants RuleWise isn't just a single AI—it's a team of specialized agents, each designed to excel at different compliance tasks. Think of them as expert colleagues you can call on whenever you need specific types of help. This guide will show you how to work effectively with each agent and when to use which one. ## Understanding the Agent System ### How Agents Work When you're chatting with RuleWise, the main AI can invoke specialized agents to help answer your questions: 1. **You Ask a Question**: You type your compliance question or request 2. **RuleWise Analyzes**: The main AI determines which agent (if any) would be most helpful 3. **Agent Activation**: The relevant agent is called in to help 4. **Specialized Response**: The agent uses its specific capabilities and knowledge to assist 5. **Integrated Answer**: You receive a comprehensive response combining the agent's expertise with the main AI **You Don't Need to Specify Agents**: In most cases, RuleWise automatically selects the right agent based on your question. However, you can request a specific agent if you know which one you need. ### Requesting a Specific Agent **Automatic Selection** (Recommended): Just ask your question naturally: "I need to understand our AML transaction monitoring procedures" **Explicit Request**: You can also request a specific agent: "Can RuleWise Insight help me research GDPR data retention requirements?" "I'd like RuleWise Quest to create training on our code of conduct" ## RuleWise Insight: Your Research Assistant ### What Insight Does Insight is your go-to agent for compliance research and knowledge base queries. It specializes in: - Searching your organization's policy documents - Finding relevant regulatory requirements from enabled jurisdictions - Conducting web searches for current regulatory guidance - Providing comprehensive, well-sourced answers to compliance questions ### When to Use Insight **Use Insight When You Need To:** - Research specific compliance requirements - Find information in your organization's policies - Understand how regulations apply to your situation - Compare requirements across jurisdictions - Get current regulatory guidance on evolving topics ### Practical Examples **Example 1: Policy Research** **Your Question:** "What are our procedures for identifying and reporting potential market abuse?" **What Insight Does:** 1. Searches your organization's market abuse policy 2. Looks for relevant regulatory frameworks (EU MAR, FCA MAR, etc.) 3. Finds related procedures like surveillance and escalation protocols 4. Compiles a comprehensive answer with specific procedures **What You Receive:** A detailed response outlining: - Identification criteria from your policy - Reporting procedures and timelines - Escalation paths - Regulatory requirements - Source citations for each piece of information **Example 2: Cross-Jurisdiction Compliance** **Your Question:** "We're launching a digital asset trading service for clients in the EU and UK. What are the key regulatory differences I need to know?" **What Insight Does:** 1. Identifies this as a multi-jurisdiction question 2. Searches EU regulations (MiCA, GDPR, etc.) 3. Searches UK regulations (FCA guidance on crypto assets) 4. May conduct web search for latest regulatory developments 5. Compares and contrasts requirements **What You Receive:** - Side-by-side comparison of EU vs UK requirements - Key differences in licensing, disclosure, and client protection - Links to relevant regulatory documents - Your organization's policies if applicable **Example 3: Current Regulatory Developments** **Your Question:** "What are the latest regulatory expectations around operational resilience for financial firms?" **What Insight Does:** 1. Checks your organization's operational resilience policies 2. Searches enabled jurisdiction regulations 3. Conducts web search for recent regulatory publications and guidance 4. Synthesizes current thinking and requirements **What You Receive:** - Overview of regulatory expectations - Specific requirements from applicable regulators - Recent guidance updates - How your organization's policies align - Gaps or areas to consider ### Tips for Working with Insight **Be Specific About Scope:** Instead of "Tell me about data protection," try "What data protection requirements apply when we transfer client data to our US-based technology vendor?" **Ask Comparative Questions:** Insight excels at comparisons: "How do our internal procedures compare to regulatory minimum standards for client due diligence?" **Request Sources:** If you need to reference the information later, ask: "Can you provide specific regulatory citations for these requirements?" ## RuleWise Quest: Your Training and Learning Partner ### What Quest Does Quest specializes in education and training. It creates: - Interactive compliance quizzes - Training materials and study guides - Educational content tailored to your organization - Learning resources for specific compliance topics ### When to Use Quest **Use Quest When You Need To:** - Create training materials for your team - Test your own knowledge on a compliance topic - Build educational content for onboarding - Generate study materials for certifications - Create quizzes for specific policies or regulations ### Practical Examples **Example 1: Personal Learning** **Your Request:** "I need to improve my understanding of our insider trading policy. Can Quest create a quiz to test my knowledge?" **What Quest Does:** 1. Analyzes your organization's insider trading policy 2. Identifies key concepts, rules, and procedures 3. Creates scenario-based questions 4. Develops help material for each question 5. Includes explanations and policy references **What You Receive:** An interactive quiz with: - 10-15 questions covering key policy areas - Multiple-choice and scenario-based questions - Immediate feedback on answers - Explanations referencing specific policy sections - Help material for concepts you find challenging **Example 2: Team Training Creation** **Your Request:** "Can Quest create a training quiz on GDPR fundamentals for our customer service team?" **What Quest Does:** 1. Identifies GDPR as a jurisdiction regulation (EU) 2. Pulls relevant GDPR requirements 3. References your organization's data protection policies 4. Creates customer-service-focused scenarios 5. Tailors complexity to the audience **What You Receive:** A training quiz ready to assign: - Practical scenarios customer service staff encounter - Questions about data subject rights, consent, breach reporting - Help material with clear explanations - Scoring and completion tracking - Ready to assign to team members **Example 3: Onboarding Materials** **Your Request:** "New financial advisors need to learn our suitability assessment process. Can Quest create comprehensive training material?" **What Quest Does:** 1. Reviews your client suitability policies 2. Incorporates relevant regulations (MiFID II, FCA COBS, etc.) 3. Creates step-by-step learning content 4. Develops practical examples and case studies 5. Builds assessment questions **What You Receive:** Complete training package: - Learning material explaining the suitability process - Practical examples of suitability assessments - Common scenarios and how to handle them - Quiz to verify understanding - Resources for further learning ### Tips for Working with Quest **Specify the Audience:** "Create a quiz for experienced compliance officers" will be different from "Create a quiz for new employees with no compliance background." **Define the Scope:** Be clear about what topics to cover: "Focus specifically on our gifts and entertainment policy, not general anti-bribery rules." **Request Specific Formats:** You can ask for "10 quick true/false questions" or "5 in-depth scenario-based questions" depending on your learning objectives. ## RuleWise Probe: Your Compliance Interviewer ### What Probe Does Probe conducts structured compliance interviews and assessments. It: - Asks targeted questions to assess compliance understanding or readiness - Evaluates organizational preparedness for regulatory requirements - Identifies knowledge gaps and areas for improvement - Simulates regulatory interview scenarios ### When to Use Probe **Use Probe When You Need To:** - Prepare for a regulatory interview or inspection - Assess your understanding of complex compliance requirements - Identify gaps in organizational compliance programs - Practice responding to regulator questions - Evaluate readiness for new regulatory requirements ### Practical Examples **Example 1: Personal Readiness Assessment** **Your Request:** "I have a meeting with our external auditors about AML procedures. Can Probe help me prepare?" **What Probe Does:** 1. Analyzes your organization's AML policies and procedures 2. Identifies key areas auditors typically focus on 3. Prepares relevant questions based on regulatory expectations 4. Conducts an interview-style assessment 5. Provides feedback and areas to review **The Interview Process:** Probe asks you a series of questions: - "What are the key risk indicators in your transaction monitoring system?" - "How does your organization verify customer identity for corporate clients?" - "Describe the escalation process when suspicious activity is identified." **What You Receive:** - Practice answering real questions - Feedback on your responses - Areas where you should review policies or procedures - Confidence for the actual meeting **Example 2: Organizational Compliance Assessment** **Your Request:** "We need to assess our readiness for the new operational resilience requirements. Can Probe help evaluate our preparedness?" **What Probe Does:** 1. Reviews operational resilience regulatory requirements 2. Creates assessment framework based on regulatory expectations 3. Asks questions about your organization's capabilities 4. Evaluates responses against regulatory standards 5. Identifies gaps and recommendations **The Assessment:** Probe asks about: - Impact tolerances and how they're defined - Business service mapping and critical functions - Testing and scenario planning processes - Governance and oversight structures - Third-party dependencies and resilience **What You Receive:** - Comprehensive assessment of organizational readiness - Gap analysis against regulatory requirements - Prioritized recommendations for improvement - Documentation of current state for leadership **Example 3: Regulatory Interview Simulation** **Your Request:** "The FCA has scheduled an interview about our client communications. Can Probe simulate what they might ask?" **What Probe Does:** 1. Reviews FCA expectations for client communications 2. Analyzes your organization's policies in this area 3. Creates realistic interview questions 4. Evaluates your responses 5. Provides coaching on improvements **The Simulation:** Probe takes on a regulator's perspective: - "How do you ensure client communications are clear, fair, and not misleading?" - "What controls are in place to review marketing materials before distribution?" - "Can you provide an example of how you've handled a client communication that didn't meet standards?" **What You Receive:** - Realistic practice for the actual interview - Insight into regulatory thinking and expectations - Feedback on how to improve your responses - Greater confidence and preparedness ### Tips for Working with Probe **Be Honest in Your Responses:** Probe is a learning tool—give genuine answers to get meaningful feedback. **Ask for Specific Scenarios:** "Simulate a GDPR regulator's questions about our data breach response capabilities." **Use for Team Preparation:** Work through Probe's questions with colleagues to build collective readiness. ## RuleWise Inspector: Your Mock Auditor ### What Inspector Does Inspector runs comprehensive mock audits and compliance reviews. It: - Simulates regulatory examinations - Conducts systematic compliance assessments - Reviews programs against regulatory standards - Identifies deficiencies and provides remediation guidance ### When to Use Inspector **Use Inspector When You Need To:** - Prepare for an upcoming regulatory inspection - Self-assess compliance program effectiveness - Identify gaps before they become findings - Benchmark against regulatory expectations - Develop remediation plans ### Practical Examples **Example 1: Pre-Inspection Preparation** **Your Request:** "We have an SEC cybersecurity examination in 3 months. Can Inspector run a mock exam to identify areas we need to strengthen?" **What Inspector Does:** 1. Reviews SEC cybersecurity examination priorities 2. Analyzes your organization's cybersecurity policies 3. Creates comprehensive examination framework 4. Conducts systematic review across all key areas 5. Documents findings and recommendations **The Mock Examination:** Inspector reviews: - Governance and risk assessment processes - Access controls and authentication mechanisms - Incident response and breach notification procedures - Vendor management and third-party risk - Employee training and awareness programs - Testing and monitoring capabilities **What You Receive:** - Detailed mock examination report - Identified deficiencies and gaps - Severity rating (critical, important, advisory) - Specific remediation recommendations - Timeline and priorities for addressing findings - Evidence and documentation you should prepare **Example 2: Program Assessment** **Your Request:** "Can Inspector review our conflicts of interest management program against FCA expectations?" **What Inspector Does:** 1. Identifies FCA requirements for conflicts management 2. Reviews your organization's conflicts policy 3. Assesses implementation and effectiveness 4. Compares against regulatory expectations and industry practice 5. Documents assessment results **The Assessment Process:** Inspector examines: - Conflicts identification procedures - Assessment and management processes - Disclosure practices and client communications - Governance and oversight - Training and awareness - Conflicts register and documentation **What You Receive:** - Comprehensive program assessment - Strengths and areas of good practice - Gaps compared to regulatory expectations - Prioritized improvement recommendations - Suggested policy enhancements - Best practice examples **Example 3: Ongoing Compliance Monitoring** **Your Request:** "Run quarterly mock audits of our AML program to ensure we maintain regulatory standards." **What Inspector Does:** 1. Establishes baseline expectations from regulations 2. Reviews your current AML policies and procedures 3. Conducts systematic review each quarter 4. Tracks improvements and new issues over time 5. Provides trending analysis **Quarterly Mock Audits:** Inspector assesses: - Changes in risk assessment methodology - Customer due diligence and enhanced due diligence processes - Transaction monitoring effectiveness - Suspicious activity reporting quality and timeliness - Training completion and effectiveness - Independent testing and quality assurance **What You Receive:** - Quarterly compliance scorecards - Trend analysis showing improvement or decline - Emerging issues and proactive recommendations - Documentation for senior management and board reporting - Ongoing preparedness for actual examinations ### Tips for Working with Inspector **Schedule Regular Mock Audits:** Don't wait for an actual inspection—use Inspector regularly to maintain readiness. **Focus on Specific Areas:** "Run a mock audit specifically focused on our customer onboarding procedures." **Request Remediation Plans:** After Inspector identifies issues, ask: "What specific steps should we take to remediate these findings?" ## RuleWise Resilience: Your Crisis Preparedness Coach ### What Resilience Does Resilience focuses on crisis management, business continuity, and operational resilience. It: - Simulates crisis scenarios - Tests response procedures and capabilities - Trains teams on incident management - Assesses resilience and continuity planning - Provides crisis management guidance ### When to Use Resilience **Use Resilience When You Need To:** - Test crisis response procedures - Train for incident management - Assess business continuity planning - Prepare for operational disruptions - Practice regulatory breach notification procedures - Improve organizational resilience ### Practical Examples **Example 1: Cybersecurity Incident Simulation** **Your Request:** "Simulate a ransomware attack scenario to test our incident response procedures." **What Resilience Does:** 1. Creates realistic ransomware attack scenario 2. Simulates evolving situation with time pressure 3. Tests your knowledge of response procedures 4. Evaluates decision-making under stress 5. Provides feedback on response effectiveness **The Simulation:** Resilience presents an unfolding scenario: - "Your IT team reports that several systems are encrypted and displaying ransom demands..." - "Customers are calling about being unable to access their accounts..." - "You have 30 minutes to decide whether to notify regulators..." - "The ransom demand is $2 million in cryptocurrency..." **What You Receive:** - Real-time crisis scenario experience - Evaluation of your response decisions - Identification of procedure gaps - Recommendations for improving incident response - Documentation for post-incident review and improvement **Example 2: Business Continuity Planning** **Your Request:** "Our primary data center has failed. Walk me through our business continuity response procedures." **What Resilience Does:** 1. Reviews your business continuity plans 2. Simulates data center failure scenario 3. Guides you through response procedures step-by-step 4. Tests understanding of recovery time objectives 5. Evaluates readiness and identifies gaps **The Scenario:** Resilience simulates: - Initial notification and assessment - Activation of business continuity plan - Communication to stakeholders - Failover to backup systems - Critical function prioritization - Customer impact management - Regulatory notification requirements **What You Receive:** - Guided walk-through of procedures - Assessment of response effectiveness - Gaps in planning or capabilities - Recommendations for plan improvements - Training for better preparedness **Example 3: Regulatory Breach Notification Training** **Your Request:** "Train me on the procedures for notifying regulators of a personal data breach under GDPR." **What Resilience Does:** 1. Reviews GDPR breach notification requirements 2. Examines your organization's breach response procedures 3. Creates a realistic breach scenario 4. Walks through notification decision-making 5. Provides guidance on timing, content, and process **The Training:** Resilience guides you through: - Breach assessment and severity determination - 72-hour notification timeline requirements - What information must be included in notification - Notification to data protection authority - Communication to affected individuals - Documentation requirements - Follow-up and remediation steps **What You Receive:** - Practical knowledge of notification procedures - Understanding of regulatory requirements - Confidence in handling real breach situations - Template approaches for breach notifications - Common mistakes to avoid ### Tips for Working with Resilience **Make Scenarios Realistic:** Provide details about your actual business: "We're a fund administrator with 50 employees primarily working remotely." **Practice Regularly:** Run different crisis scenarios periodically to keep response skills sharp. **Involve Your Team:** Work through Resilience scenarios with colleagues to build collective preparedness. ## Combining Agents for Complex Tasks Sometimes you'll benefit from using multiple agents together: ### Example: New Regulatory Requirement **Scenario**: A new regulation is being introduced in one of your jurisdictions. 1. **Start with Insight**: "What are the key requirements of the new EU Digital Operational Resilience Act (DORA)?" - Get comprehensive understanding of requirements 2. **Move to Inspector**: "Run a mock audit of our current operational resilience program against DORA requirements." - Identify gaps and needed improvements 3. **Use Quest**: "Create training materials on DORA requirements for our technology and risk teams." - Build awareness and knowledge across the organization 4. **Practice with Resilience**: "Simulate a third-party technology service outage under DORA requirements." - Test new procedures and response capabilities ### Example: New Hire Onboarding **Scenario**: You're onboarding a new compliance team member. 1. **Use Quest**: "Create a comprehensive compliance onboarding curriculum for a new compliance analyst." - Build structured learning program 2. **Add Insight**: New hire can use Insight to research specific policies and procedures as they learn - On-demand policy guidance 3. **Include Probe**: "Assess the new hire's understanding of our AML procedures after two weeks." - Verify learning and identify areas needing more focus ## Best Practices for Working with All Agents ### Be Clear About Your Objective **Less Effective**: "Tell me about AML." **More Effective**: "I need to prepare for our annual AML risk assessment. Can Probe help me understand the key areas I should focus on?" ### Provide Context **Less Effective**: "Create a quiz." **More Effective**: "Create a quiz on our market abuse policy for traders who have 5+ years of experience." ### Give Feedback If an agent's response isn't quite what you need: - "Can you make this more specific to retail clients rather than institutional clients?" - "That's too technical—can you simplify the explanations?" - "I need more detailed examples of how this applies to my daily work." ### Use Follow-Up Questions Agents remember conversation context: - After Insight provides research: "Can you create a one-page summary I can share with my manager?" - After Quest creates a quiz: "Can you make question 3 more challenging?" - After Inspector identifies gaps: "What specific steps should we take to remediate the high-priority findings?" ### Document Your Learning After working with agents: - Save important chat conversations - Download documents and artifacts created - Share relevant insights with your team - Build a personal knowledge base of compliance topics you've explored ## Conclusion RuleWise's five specialized agents give you a full team of compliance experts available 24/7: - **Insight**: Your research and knowledge specialist - **Quest**: Your training and education partner - **Probe**: Your assessment and interview coach - **Inspector**: Your mock audit examiner - **Resilience**: Your crisis preparedness trainer Each agent excels at different tasks, but they work together seamlessly to support your compliance needs. The more you work with them, the more effective you'll become at leveraging their specialized capabilities. Don't hesitate to experiment with different agents for different needs—you'll quickly develop intuition for which agent to call on for which task. **Next Steps**: Try working with each agent on a real compliance topic you're currently dealing with. Start with Insight for general research, then explore the other agents as needs arise.