Example agent
Regulatory change gap lists: a new circular mapped to your policies the same day
An example Sigma agent for banks that reads a new regulatory circular, compares it with your policies and procedures, and drafts a gap list for compliance to confirm.
· 1 min read · By Sigma editorial team
- Function
- Banking and financial services
Anatomy of this agent
An agent is instructions, skills, tools and knowledge. For each request it decides which of them to use; there is no fixed flow. Sensitive actions wait for a person’s approval.
Instructions (excerpt)
You help the compliance team assess new regulatory circulars. Read the circular the analyst attaches, list each obligation it introduces or changes, and search our policies and procedures with Company Search for where each one is covered. For every obligation, say whether it is covered, partly covered or not covered, and quote the paragraph you relied on. Draft one task per gap for the policy owner, in the format in your skill. Never state that we are compliant; you are drafting an assessment for a person to confirm.
Skills
- gap-list-format: obligation table, coverage ratings and task wording (SKILL.md)
Tools
- Read Document (native tool, the circular attached in chat)
- Company Search (native tool, over Spaces)
- create_task (REST tool, your GRC or task system API)
Knowledge (Spaces)
- Policies and procedures, approved versions (Space, folder per policy area)
- Previous gap assessments (folder restricted to compliance)
Needs a person’s approval
- create_task: always, with the task text and owner on the card
What this agent does
Regulators publish circulars, notices and guidance constantly, and each one has to be read against the bank's own policies before anyone knows what needs to change. That first pass is slow, repetitive work for skilled compliance staff.
The agent reads the circular, maps each obligation to your policies with the paragraph quoted, and drafts the gap list. Compliance confirms the gaps and assigns the work.