AI Compliance Analysis
Introduction
In regulated industries — especially insurance, healthcare, and financial services — every call your agents make must follow strict guidelines. Failing to comply with regulatory requirements can lead to fines, legal action, and loss of business. But manually reviewing every single call is simply impossible for most agencies. That is where AI Compliance Analysis comes in.
AgentTech Dialer's AI Compliance Analysis automatically evaluates every recorded call against a set of compliance questions, generating a detailed compliance score and a question-by-question breakdown. It takes the guesswork out of compliance monitoring and gives supervisors and administrators instant visibility into how well their team is following the rules.
This guide walks you through enabling compliance analysis, understanding the two-tier question system, viewing and interpreting compliance results, and best practices for keeping your agency compliant.
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Enabling AI Compliance Analysis
An agency administrator must enable compliance analysis before it starts working. Here are the steps:
- Open Agency Settings. Click on Agency Settings in the main navigation menu.
- Scroll to Compliance and Transcription Settings. Look for the section labeled Compliance and Transcription Settings.
- Toggle on "Call Compliance." Find the toggle switch labeled Call Compliance and click it to the on (active) position.
- Ensure Call Transcription is also enabled. Compliance analysis relies on call transcripts to evaluate conversations. If Call Transcription is not already enabled, turn it on as well using the Call Transcription toggle in the same section.
- Save your settings. Changes take effect immediately for all new calls going forward.
> Important: AI Compliance Analysis requires transcription to function. If transcription is disabled, compliance analysis cannot evaluate calls because there is no text to analyze.
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How AI Compliance Analysis Works
Here is the high-level process that happens automatically for every qualifying call:
- A call is made or received by one of your agents.
- The call is recorded and the recording is processed.
- A transcript is generated from the recording using AI transcription.
- The AI evaluates the transcript against your compliance questions — both platform-level and agency-level questions.
- A compliance score is generated, along with individual pass/fail results for each question and a detailed analysis of the conversation.
This entire process happens automatically in the background. No one needs to trigger it, and results are typically available within a few minutes after the call ends.
Minimum Recording Length
Compliance analysis is only performed on calls with recordings of 30 seconds or longer. Very short calls do not contain enough conversational content for meaningful compliance evaluation.
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The Two-Tier Question System
AgentTech Dialer uses a powerful two-tier question system that gives you both universal standards and agency-specific flexibility.
Platform Questions
Platform questions are compliance questions that apply to all calls across all agencies on the platform. These are established and maintained by the platform administrator and reflect industry-wide regulatory requirements and best practices.
Key characteristics of platform questions:
- They are universal — every agency's calls are evaluated against them.
- They are set by the platform admin — agency administrators can view them but cannot modify or delete them.
- They cover fundamental compliance requirements that apply broadly, such as proper disclosures, consent verification, and prohibited practices.
- They are automatically included in every compliance evaluation.
As an agency admin, you can review platform questions to understand what standards your agents are being held to, but you do not need to manage them.
Agency Questions
Agency questions are compliance questions that are specific to your agency. These are created and managed by agency administrators and reflect your agency's unique requirements, internal policies, and specific regulatory obligations.
Key characteristics of agency questions:
- They are agency-specific — only your agency's calls are evaluated against them.
- They are created and managed by agency admins — you have full control over adding, editing, and removing them.
- They can cover any compliance concern relevant to your business, such as specific disclosures required in your state, product-specific requirements, or internal quality standards.
- They work alongside platform questions, so every call is evaluated against both tiers.
Why Two Tiers?
The two-tier system ensures that:
- Baseline compliance is maintained across the entire platform through platform questions.
- Customized compliance is possible for each agency through agency-specific questions.
- Agency admins do not need to worry about setting up fundamental compliance questions — they are already in place.
- Flexibility allows agencies in different industries, states, or specialties to tailor compliance monitoring to their specific needs.
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Viewing Compliance Results
Once compliance analysis is complete for a call, you can view the detailed results. Here is how:
Step 1: Open Call Logs
Navigate to Call Logs from the main navigation menu. You will see a list of all calls handled by your agency.
Step 2: Find the Call
Use the available search and filter tools to locate the call you want to review. You can search by agent name, caller number, date range, and other criteria.
Step 3: Click "Compliance Check"
On the call row, look for the Compliance Check button. This button is available for calls with recordings of 30 seconds or longer that have been processed for compliance analysis.
> Tip: If you do not see the Compliance Check button, the call may be too short, or compliance analysis may not have been enabled at the time of the call.
Step 4: Review the Call Compliance Page
Clicking the Compliance Check button opens the Call Compliance page. This page contains a comprehensive breakdown of the compliance evaluation. Let us walk through each section:
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Call Compliance Page Walkthrough
Header
At the top of the page, you will see:
- Call ID: A unique identifier for the call, useful for reference and tracking.
- Back Button: A button to return to the Call Logs page.
Call Info Bar
Directly below the header is a horizontal info bar displaying essential call details:
- Caller: The phone number or name of the person who was called or who called in.
- Agent: The name of the agent who handled the call.
- Date & Time: The date and time the call took place.
- Duration: How long the call lasted.
- Status: The call's disposition or outcome. In some cases, you may see special indicators like a "Sold" badge if the call resulted in a sale.
Compliance Overview Card
This is the centerpiece of the page — a summary card that gives you the compliance results at a glance:
- Pass Rate: Displayed as a large percentage, this tells you how many compliance questions the call passed out of the total number of rated questions. For example, a pass rate of 85% means 85% of the evaluated questions received a passing answer.
- Passed Count: The number of questions the call passed.
- Failed Count: The number of questions the call failed.
- Rated Questions Count: The total number of questions that were evaluated for this call.
The Pass Rate is color-coded to give you an instant visual indicator:
- Green for high compliance rates
- Yellow for moderate compliance rates
- Red for low compliance rates
Sales Call Analysis Section
Below the overview card, you will find the Sales Call Analysis section. This contains a formatted text analysis of the call from a sales and compliance perspective. The AI provides a narrative summary that highlights:
- Key moments in the conversation
- How the agent handled compliance-related topics
- Any notable strengths or areas for improvement
- Overall assessment of the call's compliance posture
This analysis is written in plain language and is designed to be easily understood by supervisors and administrators without needing to read the entire transcript.
Compliance Summary
The Compliance Summary section provides a detailed, question-by-question breakdown. Each compliance question is listed with the following information:
- Question Text: The compliance question that was evaluated.
- Answer Badge: A color-coded badge showing the answer the AI determined from the conversation. Badge types include:
- No — The compliance requirement was not met (typically shown in red).
- Text — A text-based answer was extracted from the conversation.
- Carrier — The answer relates to a carrier or provider mentioned in the call.
- Agent — The answer relates to something the agent said or did.
- Answered / Unanswered Indicator: Shows whether the question could be evaluated from the transcript. Some questions may show as Unanswered if the relevant topic was not discussed during the call.
The combination of these elements gives you a granular view of exactly where the call met compliance standards and where it fell short.
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Real-Time Compliance During Live Calls
In addition to post-call compliance analysis, AgentTech Dialer can monitor compliance in real time during live calls. As the conversation unfolds, the system evaluates the real-time transcript against compliance questions and can flag potential issues as they happen.
This is particularly valuable for supervisors who are monitoring live calls, as it allows them to intervene or provide guidance before a compliance violation is finalized, rather than discovering it after the fact.
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How Compliance Data Appears in Reports
Compliance analysis results do not just live on individual call pages — they are aggregated into reports that give you a broader view of your agency's compliance health:
- Agent-Level Compliance: See how individual agents are performing across all their calls. Identify agents who consistently pass compliance checks and those who may need additional training.
- Team-Level Trends: Track compliance rates over time to spot trends, measure the impact of training initiatives, and ensure your team is improving.
- Question-Level Insights: Identify which compliance questions are most commonly failed across your agency. This tells you where to focus training and process improvements.
These reports help you move from reactive compliance management (finding problems after they happen) to proactive compliance management (preventing problems before they occur).
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Best Practices for Compliance Questions
Getting the most out of AI Compliance Analysis starts with writing effective compliance questions. Here are some best practices:
Write Specific, Clear Questions
Vague questions lead to ambiguous results. Be as specific as possible about what you expect the agent to do or say.
Instead of: "Did the agent follow the rules?"
Try: "Did the agent clearly state the monthly premium amount before asking the caller to confirm enrollment?"
Instead of: "Was the disclosure made?"
Try: "Did the agent read the required Medicare disclaimer including the statement that the call may be recorded?"
Focus on Observable Behaviors
Write questions about things that can be heard in the conversation. The AI evaluates the transcript, so it can only assess what was actually said during the call.
Good: "Did the agent ask the caller for their date of birth to verify identity?"
Less effective: "Did the agent intend to verify the caller's identity?" (Intent cannot be determined from words alone.)
Cover All Required Disclosures
Make a list of every disclosure, consent, and verification step that your agents are required to perform, and create a compliance question for each one. Common categories include:
- Identity verification
- Recording consent / disclosure
- Product disclosures and disclaimers
- Pricing and cost communication
- Enrollment confirmations
- Scope of appointment
Review and Update Regularly
Regulations change. Internal policies evolve. Review your agency questions at least quarterly to ensure they reflect current requirements. When new regulations are introduced, add corresponding questions promptly.
Do Not Duplicate Platform Questions
Since platform questions already cover universal compliance requirements, you do not need to create agency questions that duplicate them. Focus your agency questions on requirements that are unique to your business.
Use Compliance Results for Coaching
Compliance data is a goldmine for coaching. When you identify an agent who consistently fails certain compliance questions, use those specific results in your coaching sessions. Show the agent the compliance summary, walk through the transcript, and practice the correct approach.
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Frequently Asked Questions
Q: How is the pass rate calculated?
A: The pass rate is the number of passed questions divided by the total number of rated questions, expressed as a percentage. Questions that are unanswered (because the topic was not discussed) may be excluded from the rated count depending on the question configuration.
Q: Can I create compliance questions for specific campaigns or products?
A: Yes. As an agency admin, you can create agency questions tailored to specific products, campaigns, or regulatory requirements. All agency questions are evaluated against every call, so consider using question text that specifies when the question applies (e.g., "If the call involves a Medicare Advantage product, did the agent...").
Q: What happens if I add new compliance questions?
A: New questions are applied to calls going forward. Existing calls that have already been analyzed are not retroactively re-evaluated against new questions.
Q: Can agents see their own compliance results?
A: Access to compliance results is controlled by role-based permissions. Depending on your agency's configuration, agents may or may not have access to view their own compliance scores.
Q: Does compliance analysis work for both inbound and outbound calls?
A: Yes. Any call that is recorded and transcribed (with a recording of 30 seconds or longer) will be evaluated for compliance, regardless of whether it was inbound or outbound.
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Summary
AI Compliance Analysis gives your agency automated, consistent, and thorough compliance monitoring for every call. With the two-tier question system, you get both universal platform-level standards and the flexibility to add your own agency-specific requirements. The detailed Call Compliance page provides a clear Pass Rate, question-by-question results with color-coded badges, and an AI-generated analysis — all without manual review.
Enable it today in Agency Settings under Compliance and Transcription Settings, review and customize your agency questions, and start gaining full visibility into your team's compliance performance.
Last updated: February 23, 2026