AI-First IT Enablement for Financial Services Firms
SEC. FINRA. Fiduciary duty. We understand what's at stake.
Industry Context
We understand your world.
- 1
Examination readiness — Regulators expect documented technology controls and a defensible cybersecurity program. 'We use our MSP' isn't an answer.
- 2
Audit trail requirements — Every client interaction, trade, and communication needs to be logged and retrievable. Your systems need to make that possible.
- 3
Books and records obligations — Data retention rules apply to more systems than most firms realize, including collaboration tools and AI platforms.
- 4
Fiduciary exposure from shadow AI — Unsanctioned AI tools used by advisors create examination risk and potential fiduciary liability.
- 5
Client reporting accuracy — Performance reports, fee disclosures, and regulatory notices require accuracy that manual processes can't reliably deliver.
AI Opportunities
Where AI delivers real ROI for your firm.
Client Onboarding & KYC
Automate document collection, identity verification, and account opening workflows. Reduce onboarding time while strengthening compliance documentation.
Portfolio Analysis
AI-assisted performance attribution, risk analysis, and client reporting. Surface insights that manual analysis misses.
Compliance Monitoring
Automated surveillance of communications and trading activity against compliance rules. Surface issues before examiners do.
Client Service
AI-powered responses to routine client inquiries — account balances, document requests, standard questions — with appropriate compliance guardrails.
Ready to see what's possible for your firm?
30-day deep dive. 3+ automation wins guaranteed — or you don't pay. $1,995.