AI Automation for Financial Services
High-accuracy document processing with confidence scoring and a full audit trail. The compliance team will love it.
Financial services run on documents — tax returns, statements, agreements, KYC packets, fund prospectuses. Manual processing is slow, error-prone, and a hiring drag. AI handles the bulk of the extraction + classification with confidence scoring; humans review the edge cases. Audit trail end-to-end.
Use cases we deliver
Document extraction (tax returns, statements, contracts)
Upload PDF → AI extract structured data → push to your ledger/CRM/database → flag anomalies for human review. Dramatically faster than manual entry.
KYC + onboarding
New client → ID verification + KYC questionnaire + risk scoring + initial portfolio recommendation drafted → advisor reviews + sends. Compresses a multi-step onboarding cycle.
Client quarterly communications
Quarter close → AI generates personalised performance summary per client → advisor reviews + sends. Turns a multi-week manual process into a same-week one.
Regulatory documentation
Audit + compliance request → AI compile relevant docs + draft response → compliance officer reviews. Takes the manual assembly off the compliance team for regulator requests.
Invoice + AP automation
Vendor invoice → AI extract + categorise + match to PO → push to accounting system + flag exceptions. Eliminates manual AP entry.
Compliance + integration notes
SOC 2 Type II controls architecture. SEC + FINRA aware. Data residency: US-East or EU-West, customer choice. Standard MSA + DPA. Compatible with major custodians (Schwab, Fidelity, Pershing) via Schwab Performance / Black Diamond / Orion APIs.
FAQs
How do you handle data residency requirements?
Customer-controlled cloud (AWS / GCP / Azure) or our managed deployment in your chosen region. LLM processing happens via an LLM-vendor Zero-Data-Retention tier for sensitive data.
Can the AI handle our custom document types?
Yes — most custom forms train in 50-100 examples. Initial training week sets accuracy; ongoing supervised learning closes accuracy gaps as you go.
What about the audit trail?
Every AI extraction logs: input doc hash, prompt sent, output received, reviewer ID, decision (approve / edit / reject), timestamp. Exportable for any audit.
Pricing for a 25-person advisory firm?
Growth plan ($2,997/mo) is the typical fit — covers document processing + client comms + KYC workflows. Larger firms (50+) move to Enterprise.