Enterprise Compliance & Regulatory Standards

Built for Regulated Industries

ConvoAI meets the compliance and regulatory requirements of healthcare, legal, financial services, and other highly regulated industries. We don't just promise compliance — we prove it.

Schedule Compliance ConsultationVisit Trust Center
4
Compliance Frameworks
5
Industry Profiles
100%
Audit Trail Coverage
24/7
Compliance Monitoring

Compliance Frameworks

ConvoAI is designed to meet the requirements of major compliance frameworks and regulatory standards.

SOC 2 Type II

Trust Service Criteria compliance for security, availability, processing integrity, confidentiality, and privacy.

In ProgressExpected: Q2 2026
Annual audits by independent third-party auditors
Continuous control monitoring and testing
Audit reports available to enterprise customers under NDA
Security policies and procedures documentation
Vendor risk management program

HIPAA

Health Insurance Portability and Accountability Act compliance for protected health information (PHI).

In ProgressExpected: Q2 2026
Business Associate Agreements (BAA) available
PHI encryption at rest and in transit
Access controls and audit logging for PHI
Breach notification procedures
Regular risk assessments and security training

GDPR

General Data Protection Regulation compliance for EU personal data processing.

Active
Data Processing Agreements (DPA) available
Right to access, rectification, and erasure
Data portability and export capabilities
Privacy by design and by default
Data breach notification within 72 hours
EU data residency options available

NIST AI RMF

NIST AI Risk Management Framework for trustworthy and responsible AI systems.

Active
AI risk assessment and management processes
Transparency and explainability (mandatory citations)
Fairness and bias monitoring
Security and resilience controls
Accountability and governance documentation
Continuous monitoring and improvement

Industry-Specific Compliance

Pre-configured compliance profiles for your industry's unique regulatory requirements.

Healthcare

Medical practices, hospitals, health systems, clinical research organizations

Relevant Frameworks:
HIPAAHITECHFDA 21 CFR Part 11
Compliance Features:
PHI/PII detection and masking
Audit trails for all PHI access
Role-based access control for medical records
Evidence bundles for HIPAA audits
Breach notification automation

Legal

Law firms, corporate legal departments, legal aid organizations

Relevant Frameworks:
ABA Model RulesState Bar Ethics RulesLegal Professional Privilege
Compliance Features:
Attorney-client privilege protection
Ethical wall enforcement
Conflict check audit trails
Document retention policies
Chain of custody tracking

Financial Services

Banks, investment firms, insurance companies, fintech startups

Relevant Frameworks:
SOXGLBAPCI DSSFINRASEC regulations
Compliance Features:
Financial data encryption and access controls
Trade surveillance and monitoring
Regulatory reporting automation
Insider trading prevention
Customer identification program (CIP) compliance

Real Estate

Real estate brokerages, property management firms, title companies

Relevant Frameworks:
RESPATILAFair Housing ActState licensing requirements
Compliance Features:
Transaction document audit trails
Fair housing compliance monitoring
Escrow account tracking
Disclosure requirement checklists
License and certification verification

Life Sciences

Pharmaceutical companies, biotech firms, clinical research organizations

Relevant Frameworks:
FDA regulationsGxP (GMP, GLP, GCP)EMA guidelines
Compliance Features:
Clinical trial data integrity
Research documentation compliance
Adverse event reporting
Laboratory notebook audit trails
Regulatory submission preparation

Compliance Capabilities

Built-in features that make compliance easier, not harder.

Comprehensive Audit Logs

Every action is logged with global trace IDs, timestamps, user identity, and detailed context.

Security audit logs (authentication, authorization, access)
Compliance audit logs (policy changes, data access, exports)
Forensic audit logs (suspicious activity, failed attempts)
RAG retrieval audit events (documents accessed, pages viewed)

Evidence Bundles

Tamper-evident ZIP exports of audit logs, policies, and system configurations for regulators.

Custom date range selection
Filtered by user, action type, or resource
Cryptographically signed and timestamped
Includes system metadata and policy snapshots

Retention & Legal Hold

Flexible data retention policies with legal hold capabilities to preserve evidence.

Configurable retention periods (90 days to 7 years)
Legal hold overrides automated deletion
Immutable audit logs (write-once, read-many)
Automated compliance with record-keeping requirements

Real-Time Compliance Alerts

Automated notifications for policy violations, budget overruns, and suspicious activity.

Threshold-based alerts (usage, cost, access patterns)
Anomaly detection (unusual data access, off-hours activity)
Integration with SIEM and incident response tools
Customizable alert routing and escalation

Compliance Dashboards

Executive-friendly dashboards showing compliance posture, risk metrics, and audit readiness.

Policy compliance metrics (% of users with required training)
Risk heat maps (high-risk users, data, or activities)
Audit preparation status (missing controls, gaps)
Trend analysis (compliance improving or declining)

Policy Version Control

Track all changes to policies, permissions, and configurations with full history.

Version history for all policy changes
Diff views showing what changed and when
Rollback capabilities for accidental changes
Approval workflows for policy updates

Compliance Automation

Reduce manual compliance work with intelligent automation.

Continuous Compliance Monitoring

Automated checks run continuously to detect drift from compliant baseline.

Automated Evidence Collection

System automatically collects and organizes evidence for audits and regulatory inquiries.

Pre-Built Compliance Reports

Generate SOC 2, HIPAA, and GDPR compliance reports with one click.

Risk Scoring & Prioritization

Automated risk assessment identifies highest-priority compliance gaps.

Trusted by Compliance Leaders

Hear from compliance officers and privacy leaders using ConvoAI.

“As Chief Compliance Officer, I needed a solution that wouldn't just promise compliance but could prove it. ConvoAI's evidence bundles and audit trails made our SOC 2 audit straightforward.”

Sarah Chen
Chief Compliance Officer
FinTech Startup
Financial Services

“HIPAA compliance isn't optional for us. ConvoAI's PHI detection, access controls, and audit logging gave us confidence that we could use AI without risking patient privacy.”

Dr. Michael Rodriguez
HIPAA Privacy Officer
Regional Health System
Healthcare

“Our law firm operates under strict ethical rules. ConvoAI's audit trails and privilege protection features let us leverage AI while maintaining attorney-client confidentiality.”

Jennifer Wu, Esq.
General Counsel
Am Law 200 Firm
Legal

Ready to Ensure Compliance?

Schedule a compliance consultation with our team to discuss your specific regulatory requirements.

Schedule Compliance ConsultationVisit Trust Center