Build Your Own Compliance Procedures Assistant

1. Go to claude.ai in your browser
2. Click Sign up — use your personal email (not your firm's corporate email for this personal productivity tool)
3. Verify your email and sign in

What you should see: The main Claude chat interface with a sidebar on the left.

1. In the left sidebar, look for Projects — it appears below your recent conversations
2. Click New project
3. Name it "Operations Procedures Assistant" or something descriptive
4. You'll see an empty project with a chat interface and an "Add to project" area on the left

What you should see: A project page with a blank chat and a panel on the left side for adding documents. Troubleshooting: If you don't see Projects, make sure you're logged in. Projects is available on Claude free and Pro accounts.

Before uploading, collect:

• Your firm's NIGO checklist or document requirements list (PDF or Word)
• Account opening procedure document
• Wire transfer processing procedure
• Any regulatory summaries your compliance team has distributed (e.g., T+1 settlement requirements, BSA/AML overview)
• KYC/CDD documentation requirements list

Important: Only upload documents that do NOT contain client PII (names, account numbers, SSNs). Procedure documents and regulatory summaries are typically fine. Do NOT upload client files or transaction records.

1. In your project, click Add content or the + button in the left panel
2. Upload your documents one by one — Claude accepts PDF, Word (.docx), and plain text files
3. For each file, Claude shows a confirmation that it was added to the project knowledge base

What you should see: Your documents listed in the project panel with green checkmarks. Troubleshooting: If a file is too large (over 10MB), split it into sections or copy the key content into a plain text file.

1. In the project, look for a Project instructions or System prompt field (usually above the chat area)
2. Type a brief instruction:

You are a helpful compliance and operations assistant for a financial services back-office operations team. Answer questions based on the documents I've uploaded. If something isn't covered in the documents, say so clearly rather than guessing. Use plain language — not legal jargon.

1. Save the instruction.

In the chat area, type a question you'd normally spend time looking up:

"What documents are required to open a new trust account?"

Or: "What are the steps for processing an outbound wire transfer?"

What you should see: A specific, accurate answer based on your uploaded documents — not a generic internet answer.