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AI training · Legal

AI training for compliance officers

AI does not issue opinions and does not clear any third party. It gathers public sources, compares a regulation to your procedures, and formats your controls, so your time goes to assessing risk.

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In brief

AI for compliance officers, in brief

AI helps compliance officers with tasks such as “Answer an employee’s question about our rules,” “Run the first checks on a third party,” and “Send a third-party due diligence questionnaire.” Start with a single task, in Gemini Notebook: allow 15 minutes the first time, and always review the result before you use it.

  • 10concrete use cases
  • 6recommended tools, 4 of them free to start
  • 10 to 25 minper use case, the first time

The tasks where AI helps most

  • Risk mapping
  • Keeping procedures up to date
  • Third-party due diligence
  • Regulatory monitoring
  • Team training
  • Controls and reporting to the committee
Use cases

10 concrete AI use cases for compliance officers

For each task: how it goes today, then with the tool. And the time it takes the first time.

Gemini Notebook · A “Procedures” notebook

Answer an employee’s question about our rules

Today“Can I accept this invitation?”: the answer is in the code of conduct, the gifts policy, and an old internal memo, to be reopened every time.

With Gemini NotebookA one-sentence answer, backed by the exact clause of your procedures.

  • 15 min
  • every day

Perplexity · “Research”

Run the first checks on a third party

TodayBefore signing with a sales agent or a supplier abroad, you need to know who they are, and the research is done by hand, site after site.

With PerplexityA first-check report, source by source, to attach to the third party’s due diligence file.

  • 20 min
  • every week

Tally · “Create with AI”

Send a third-party due diligence questionnaire

TodayThe questionnaire goes out as an attachment, comes back half filled in, and everything has to be copied into the tracking sheet.

With TallyAn online form that the third party fills in and signs, and answers organized in your tracking sheet.

  • 20 min
  • as needed

Also

Claude · Attached files, in the conversation

Measure the gap between a new regulation and our procedures

A gap table between the text and your procedures, the basis for your compliance plan.

  • 25 min
  • every month

Doctrine · “Poser une question” (Ask a question), detailed analysis

Check an obligation and its penalty

A structured answer, the provisions then the rulings, to ground your position.

  • 10 min
  • every week

Claude

Prepare a risk-mapping workshop

A list of scenarios and questions to start the discussion, to adapt before the workshop.

  • 15 min
  • as needed

Microsoft Copilot · Copilot in Excel

Review the gifts and hospitality register

The lines to examine, flagged in the register, and a summary by team and by third party.

  • 15 min
  • every month

Gemini Notebook · “Studio” panel, flashcards and quiz

Build the quiz for the anti-corruption training

A scenario-based quiz, with the answer key and the reference to your procedures.

  • 20 min
  • as needed

Perplexity · “Projects”

Keep up with regulatory changes

A regulatory update every Monday, with the official link for each publication.

  • 15 min
  • every week

Claude · Word file, in the conversation

Write the report to the compliance committee

A two-page report in Word, focused on decisions, faithful to your control results.

  • 20 min
  • every month

All 10 use cases on this page are in Nova, each with its steps and its prompt.

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One use case, start to finish

Gemini Notebook for compliance officers: answer an employee’s question about our rules, step by step

  • 15 min
  • every day

What to check

The notebook knows only your documents, not the law or the context of the case. For internal documents, use the company’s Google Workspace account. A borderline case is decided by you, not by the tool.

Answer an employee’s question about our rulesGemini Notebook · A “Procedures” notebook
  1. Create a notebook and import the code of conduct, the gifts and hospitality policy, the conflict of interest policy, and your internal memos.
  2. In the “Chat” panel, ask the question with the prompt below.
  3. Click the number shown in the answer: the passage opens in the document.
  4. Answer the employee in your own words, with the reference, and keep a record of your answer.

The prompt to copy

Using only the documents in this notebook, answer the following question from an employee in the [sales] team: [question, with no person’s or customer’s name]. First give the answer in one sentence: yes, no, or yes under certain conditions. Then cite the document and the clause it rests on, the applicable thresholds, and the person who must give approval. If our documents do not cover the case, or contradict each other, say so clearly instead of inferring.

My path

What you’ll be able to do, one step after another

In Nova, “My path” starts from your level: one next step at a time.

  1. Talk to AI like a colleague

    The first moves, with free tools.

  2. Write faster, without mistakes

    In your jobAnswer an employee’s question about our rules

  3. Get answers from your documents

    In your jobRun the first checks on a third party

  4. Find an answer you can trust

    In your jobPrepare a risk-mapping workshop

  5. Never retype anything again

    In your jobSend a third-party due diligence questionnaire

For a team: everyone moves forward in their own job. You see the team’s progress, never one person’s activity.

The tools

AI tools for compliance officers, and what they cost

Claude

Free to start

Compare a new regulation to your procedures, prepare a risk-mapping workshop, and write the committee report, with a real Word or Excel file at the end.

Recommended planFree to try, with no confidential documents. At work: Team, $25 per user per month ($20 if billed yearly).

Gemini Notebook

Free to start

The code of conduct and the procedures in one notebook: the answer cites the clause, and the training quiz comes out of it.

Recommended planFree: 100 notebooks, 50 sources per notebook, 50 questions per day. Included in the company’s Google Workspace plans.

Perplexity

Free to start

The first checks on a third party from public sources, and a weekly regulatory update with the official links.

Recommended planFree: 3 “Pro” searches per day and 1 “Research” report per month. Then: Pro, $20 per month (€22 on the French App Store).

Doctrine

The exact provision, the penalty incurred, and the recent rulings, before you give leadership a position.

Recommended planDoctrine subscription, see the website for pricing. A free trial is offered.

Microsoft Copilot

If the company runs on Microsoft 365: spot the anomalies in a register in Excel, without the names leaving the company.

Recommended planMicrosoft 365 Copilot Business, €15.60 excl. tax per user per month, annual commitment.

Tally

Free to start

A due diligence questionnaire that the third party fills in and signs online, with the answers organized in a table. Data stored in Europe.

Recommended planFree, $0.

Prices taken from the vendors’ official pages, dated on each tool page. These subscriptions are not included in Nova. Brands are named to identify the tools. No affiliation.

Ground rules

The rules to follow with AI in this job

Always do this

  • Confidentiality: a whistleblower report, an internal investigation, or a third party’s file does not leave the tools approved by the company. Never on a personal account.
  • Personal data: no employee, customer, or executive name in a consumer tool. Checks on individuals are limited to what is necessary and are framed with your data protection officer.
  • Every regulation, every sanction, and every list is checked at the official source. An assistant can confuse two companies with the same name.
  • AI prepares; you assess the risk and you issue the opinion. Keep a record of what you checked: that is what counts in an audit.

Never hand this to AI

  • The content of a whistleblower report and the identity of its author: in France, the law requires strict confidentiality.
  • Approving or rejecting a third party, a transaction, or a gift in your place.
  • Sanctions list screening: keep the dedicated tool and the official lists.
Questions

Frequently asked questions about AI for compliance officers

Which AI tools should compliance officers use?

Nova recommends 6 to start with: Claude, Gemini Notebook, Perplexity, Doctrine, Microsoft Copilot, and Tally. 4 of them can be used for free to get started.

How does Claude help compliance officers?

Compare a new regulation to your procedures, prepare a risk-mapping workshop, and write the committee report, with a real Word or Excel file at the end. The plan to choose: Free to try, with no confidential documents. At work: Team, $25 per user per month ($20 if billed yearly).

Where should compliance officers start with AI?

With “Answer an employee’s question about our rules,” in Gemini Notebook (a “Procedures” notebook). Allow 15 minutes the first time. A one-sentence answer, backed by the exact clause of your procedures.

Is this an accredited course that leads to a certificate?

No. Nova is software, not an accredited training provider: it issues no diploma or certification. It costs €19 per month for one person, and €129 per month for a team of up to ten people.

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