Financial Services & Advisers
AI and automation for financial firms where compliance slows everything
Automate client onboarding, annual review prep, document chasing, and meeting follow-up — with audit trails that make compliance easier, not riskier.
Advice firms, brokers, and wealth managers carry an admin load most industries can't imagine: KYC packs, suitability documentation, annual reviews, and file notes for everything. The good news is that regulated process is exactly what automates best — it's defined, repeatable, and audit-trailed by design. We automate the mechanics around your back-office system while keeping advisers and compliance officers in control of every judgement.
Onboarding measured in weeks
ID verification, risk profiling, and agreements bouncing between client, adviser, and paraplanner over email.
Annual review season crunch
Hundreds of reviews to prepare, each needing valuations, fund data, and history assembled by hand.
Meeting follow-up debt
File notes and action letters written days after the meeting — a compliance risk and a client-experience drag.
What we typically build
Automation and AI that earns its place for financial services firms
Digital onboarding packs
ID&V, risk questionnaires, and agreements issued, chased, and filed automatically — onboarding in days, fully evidenced.
Review preparation
Valuations and client history compiled automatically before each annual review, so paraplanners can review the information before preparing advice.
Meeting notes and action letters
AI-drafted file notes and follow-up letters from meeting recordings — adviser-reviewed, same-day, consistently formatted.
Compliance-friendly audit trails
Every automated step logged with timestamps and documents attached, making file reviews faster rather than scarier.
How we'd engage
Most financial services firms start with a tech operations audit to map the workflows worth fixing, then move into implementation. These services are the usual fit:
FAQ
Common questions from financial services firms
- Is automation compatible with FCA expectations?
- Yes — automation done properly strengthens your evidence, because every step is logged and consistent. We design workflows so advisers make the judgements and the system handles the mechanics, and we document data flows for your compliance function to approve before anything goes live.
- Can AI draft suitability reports?
- AI can assemble the factual scaffolding and draft sections for paraplanner and adviser review. We'd never recommend unreviewed AI output in advice documents — the win is cutting assembly time, not removing the professional from the loop.
- Which back-office systems do you integrate with?
- Intelliflo, Xplan, Plannr, CURO, and most platforms with an API or export capability. Where a system is closed, we automate the surrounding email and document workflows instead.
See what automation would return for your business
Book a tech operations audit. We'll map your workflows, spot the duplicated tools and manual chases, and give you a practical fix list — whether or not you build it with us.
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