THE PLATFORM

Nucleus —
Compliance & Risk Intelligence Engine

The Compliance & Risk Intelligence Engine from PQ Technologies

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Most banks and financial institutions still run compliance and risk on legacy processes and workflow engines that were never designed for today’s regulatory complexity, or for the volume and frequency of the data flowing through them. Every review of a transaction, a document or a client structure needs hands-on attention, and the cost of that attention grows with the business.

Nucleus is our answer: a compliance and risk intelligence engine that combines automated data processing with human oversight. It ingests compliance data, media, transactions and news, applies rule sets that have been converted into machine-readable, auditable logic, and returns guidance, assistance, document intelligence and a complete audit trail — in real time.

The engine is one platform; the regulatory coverage is modular. You adopt the packages you need, calibrate them together with our compliance experts, and add more as your obligations change.

HOW IT WORKS

How Nucleus Works

Nucleus sits between your data sources and your compliance, risk and front-office teams. It pulls in the relevant inputs, validates them against the rule sets configured for your organisation, and returns results your team can act on and defend in an audit.

Modular Intelligence Packages

KYC / AML
Cross Border
Sanctions & Embargo
Tax Compliance
MiFID
More…

Inputs

Compliance Data
KYC questionnaires, profile & structured data, unstructured data such as free-text fields and annotations.
Media
PDFs, images, emails, and other document formats ingested for analysis.
Transactions
Payment flows, securities trades, and other financial activity for monitoring and screening.
News
Adverse media, sanctions updates, and regulatory news feeds for continuous screening.
And more…
Nucleus — Compliance & Risk Intelligence Engine Nucleus Intelligence Engine

Outputs

Guidance
Actionable, explainable, reproducible and auditable recommendations and compliance signals for your team to review and act on.
Assistance
AI-powered support that helps your team to work faster and more consistently.
Audit Trail
Full traceability of every decision, rule application, and data source for regulatory audits.
Document Intelligence
Automated analysis, classification, and cross-validation of unstructured documents.
And more…
MODULAR COVERAGE

Compliance Packages

Every package runs on the same engine and shares the same data, rules and audit trail. Start with what you need today; activate the rest when your regulatory landscape moves.

KYC & AML

Automated onboarding, due diligence, transaction monitoring, and suspicious activity detection for natural persons and complex corporate structures.

Sanctions & Embargo

Real-time screening against global sanctions and embargo lists, combining AI-powered fuzzy matching with automated, context-aware alert triage.

Cross Border Compliance

Automated cross-border rule validation, jurisdiction detection, and regulatory boundary enforcement.

Tax Compliance

Client tax compliance — including QI, FATCA, and CRS — with classification, validation, and reporting at every stage of the client lifecycle.

Suitability & Appropriateness

Automated suitability and appropriateness checks for investment advice and portfolio management.

MiFID II

Investor protection, product governance, and transaction reporting aligned with EU Markets in Financial Instruments directives.

Document Intelligence

Automated extraction and validation of unstructured documents — contracts, forms, and legal filings.

Risk Rating & Classification

Automated risk scoring and client classification based on configurable rule sets and regulatory frameworks.

Regulatory Reporting

Automated generation of regulatory reports — audit-ready, on schedule, and aligned with jurisdiction-specific requirements.

Transaction Monitoring

Continuous surveillance of transactions with pattern detection and intelligent alert prioritisation.

Additional modules are available and in development — Nucleus grows with your needs.

OUR APPROACH

Modular Compliance Software Tailored To Your Needs

Once Nucleus is integrated, expanding your compliance coverage is straightforward. Add new modules without re-architecting — each one plugs into the same engine.

01

Add Packages On Demand

Start with the modules you need today and activate additional compliance packages as your regulatory landscape evolves — no migration, no disruption.

02

Fine-Tuned Together

Every package is configured jointly with your team. Our compliance experts and your specialists calibrate rules, thresholds, and logic to match your organisation's standards and risk appetite.

03

Continuously Evolving

Nucleus adapts as regulations change. Rule sets are updated, models are retrained, and new best practices are rolled in — keeping you ahead without costly overhauls.

CONTINUOUS EVOLUTION

What Happens After Go-Live

Nucleus doesn't stop at deployment. The platform evolves along your business and the best practice and regulatory landscape.

Real-Time Monitoring

Nucleus flags issues automatically — your team focuses on exceptions and high impact cases, not routine checks.

Regulatory Updates

When regulations change and best practices develop, we update the relevant packages — no months of manual rework on your side.

Ongoing Rule Tuning

Your team can adjust thresholds and parameters as the business evolves — within the guardrails the regulation permits.

Expand Without Disruption

Need a new package? Same setup path, same platform — no rip-and-replace required.

QUESTIONS & ANSWERS

Nucleus — Frequently Asked Questions

What is Nucleus?

Nucleus is the compliance and risk intelligence engine built by PQ Technologies AG in Zurich. It is an AI-powered platform that validates compliance profiles, transactions, documents and complex corporate structures — pulled from all relevant sources — against compliance and risk standards tailored to your business, in real time.

Which compliance areas does Nucleus cover?

Nucleus is modular. Available packages cover KYC and AML, sanctions and embargo screening, cross-border compliance, tax compliance (including QI, FATCA and CRS), suitability and appropriateness, MiFID II, document intelligence, risk rating and classification, regulatory reporting, and transaction monitoring. Further modules are available and in development.

Who is Nucleus built for?

Banks, wealth managers and other financial institutions that need to process regulatory and risk work at volume — across the front office, compliance, risk and the other lines of defence.

Do we have to replace our existing systems to use Nucleus?

No. Nucleus is modular: you start with the packages you need today and activate additional ones as your regulatory landscape evolves. Each module plugs into the same engine, so expanding coverage needs no re-architecting, no migration and no rip-and-replace.

How does Nucleus keep up with regulatory change?

Nucleus does not stop at deployment. When regulations change and best practices develop, PQ Technologies updates the relevant packages, rule sets are updated and models are retrained. Your own team can adjust thresholds and parameters as the business evolves, within the guardrails the regulation permits.

Are decisions made by Nucleus auditable?

Yes. Nucleus produces a full audit trail — every decision, rule application and data source is traceable for regulatory audits. Its guidance is designed to be actionable, explainable and reproducible.

Who builds Nucleus?

Nucleus is built by PQ Technologies AG, an ETH Zurich start-up based at Konradstrasse 12, 8005 Zurich, Switzerland. The team combines compliance and risk subject-matter experts with engineers and data scientists, and works together with PQ Solutions.

See Nucleus in Action

Walk through a live scenario, or talk to the team about your own compliance and risk processes.

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