Exam & RFI Response Agent
Assembles responses to regulatory exam and information requests.
Receives a supervisor's request list, decomposes each item, spawns workers to locate and assemble documents and data extracts in parallel, and drafts the response with a navigable index. Tracks against the deadline and routes the package through a counsel judge agent for privilege and scope review, then to a senior counsel (accountable attorney) who approves the response before it goes to the regulator.
Authority
Recommend for approval
Team role
Coordinates the work
Handoffs
Named collaborators
The role
What it owns and where its authority ends
Desk
Regulatory Reporting & Exam Management
Desk workflow
Data sourcing, then report production, reconciliation and certification by the certifying officer; exam RFIs move from intake through response assembly and review to delivery, alongside complaint-trend analysis.
Collaboration
Coordinates specialist contributions
Decision boundary
An accountable reviewer commits the decision or action.
Systems and capabilities involved
Document + records systems
locate + retrieve artifacts
Data warehouse
produce requested data extracts
Prior-response retrieval
Owner coordination comms
Counsel judge agent
privilege + scope review before a senior counsel approves the response
Handoffs
What this role gives and receives
Capabilities offered
The handoffs name the next owner or specialist and the work that moves between them.
Receives from
External handoff
All divisions (source of requested records and data)
Context
What the role needs to do the work
- Current work
- The request list + items assembled and outstanding.
- Prior interactions
- Prior responses to this regulator and reusable artifacts.
- Policies and reference
- Document locations, owners, and the firm's record taxonomy.
- Working method
- Not specified for this role.
Illustrative workflow
How the work moves
Starting point
A supervisor issues a 60-item information request with a 10-day deadline.
- 01
Decompose the request; assign owners and locate sources per item.
- 02
Spawn workers to assemble documents and produce data extracts in parallel.
- 03
Draft responses and build a navigable response index.
- 04
Route the package to the counsel judge agent for privilege and scope review.
Result
A reviewed, indexed response package delivered inside the deadline, with an audit trail of every artifact produced.
Checks and boundaries
What must be tested or reviewed
- 01Completeness check: every request item is addressed or has a documented status before delivery.
- 02Privilege + scope review by a counsel judge agent and approval by a senior counsel (accountable attorney) before anything goes to the regulator.
- 03Deadline-tracking guardrail; immutable log of what was produced when.
Human authority
An accountable reviewer commits the decision or action.
Keep exploring