AI Agents for Financial Services
Automate compliance. Accelerate client service.
Your advisors spend 30% of their time on compliance and administrative tasks. Our AI agents handle client onboarding, document collection, scheduling, and reporting, so your team can focus on what matters: advising clients.
SOC 2 compliant. Full audit trails. Enterprise-grade security.
The Numbers Don't Lie
Financial services firms face mounting pressure to deliver immediate, personalized service while managing increasing compliance requirements.
Clients today expect 24/7 availability. Missed calls and delayed responses cost relationships.
Every prospect that slips through the cracks represents significant lifetime value lost.
Documentation, reporting, and regulatory requirements consume nearly a third of billable hours.
Built for Financial Services Workflows
AI agents trained on financial services processes, compliance requirements, and client expectations.
Client Onboarding Automation
AI guides new clients through account opening, collects required information, and ensures all documentation is complete before human review.
- Reduce onboarding time from days to hours
- Ensure 100% documentation completeness
- 24/7 availability for prospect inquiries
KYC/AML Document Collection
Automated requests, reminders, and verification of identity documents. AI follows up until all required documentation is received.
- Automated document request workflows
- Intelligent follow-up on missing items
- Audit trail of all communications
Portfolio Review Scheduling
AI handles scheduling, sends pre-meeting questionnaires, and prepares advisors with client context before every review.
- Zero scheduling friction for clients
- Pre-populated meeting agendas
- Automatic reminders and confirmations
Compliance Reporting
Automated generation of compliance documentation, activity reports, and audit-ready records.
- Automatic documentation of client interactions
- Regulatory report generation
- Complete audit trails
Client Inquiry Handling
AI answers common questions about account status, market updates, and service offerings. Complex questions routed to the right advisor.
- Instant response to client inquiries
- Intelligent routing to specialists
- After-hours availability
Document Processing
Automated extraction, classification, and routing of incoming documents. AI reads, categorizes, and files documents to the right client records.
- Eliminate manual document sorting
- Automatic data extraction
- Error reduction in data entry
Built for Regulated Industries
Financial services require the highest standards of security and compliance. We deliver.
SOC 2 Compliant
Built on SOC 2 Type II certified infrastructure. Annual audits ensure ongoing compliance with security best practices.
256-bit Encryption
All data encrypted at rest and in transit. Bank-grade security for all client information and communications.
Full Audit Trails
Complete records of every interaction, decision, and document. Ready for regulatory examination at any time.
Configurable Retention
Set data retention policies to match your compliance requirements. 7-year retention for SEC/FINRA compliance available.
From Assessment to Implementation
AI Opportunity Audit
We analyze your firm's workflows and identify high-impact automation opportunities. Delivered in 3-7 days.
Solution Design
Our team designs AI agents tailored to your specific processes, compliance requirements, and integration needs.
Pilot Deployment
Test with a subset of clients or processes. Measure impact, gather feedback, and refine before full rollout.
Full Implementation
Deploy across your organization with dedicated support, training, and ongoing optimization.
Start with Discovery. Scale with Impact.
Begin with an audit to identify opportunities, then implement solutions that deliver measurable ROI.
AI Opportunity Audit
One-time assessment
- Financial services-specific analysis
- Workflow mapping and friction identification
- Prioritized automation opportunities
- ROI projections for each opportunity
- Implementation roadmap
- Delivered in 3-7 business days
Custom AI Agents
Tailored to your firm
- Custom-built AI agents for your workflows
- Integration with your CRM and systems
- Compliance-first architecture
- Dedicated implementation support
- Ongoing optimization and updates
- Enterprise SLA and support
Not sure where to start? Get an AI Audit first
Your Data, Protected
We take security and compliance seriously. Here's how we protect your business and your customers.
Enterprise-Grade Security
- 256-bit SSL encryption on all connections
- Data encrypted at rest and in transit
- Built on SOC 2 certified infrastructure
- Regular security audits
Data Handling
- Call recordings stored for 90 days (configurable)
- Data hosted in US-based data centers
- GDPR and CCPA compliant
- No data sold to third parties
Call Recording Disclosure
- AI identifies itself at the start of each call
- Callers notified that calls are recorded
- Compliant with two-party consent states
- Full call transcripts available on request
Customer Opt-Out
- Callers can request human callback
- SMS opt-out via STOP keyword
- Do-not-call list honored
- Data deletion requests processed within 30 days
Questions?
Is this compliant with financial services regulations?
Yes. Our platform is built on SOC 2 certified infrastructure with 256-bit encryption, full audit trails, and data retention policies designed for regulated industries. We support FINRA, SEC, and state regulatory compliance requirements.
How do you handle sensitive client data?
All client data is encrypted at rest and in transit. We maintain complete audit trails of every interaction. Data is stored in US-based SOC 2 certified data centers with configurable retention policies.
Can AI agents integrate with our existing systems?
Yes. We integrate with major CRM platforms (Salesforce, Redtail, Wealthbox), custodians, document management systems, and compliance platforms. Custom integrations are available for enterprise clients.
What's the implementation timeline?
Typical enterprise implementations take 4-8 weeks, including compliance review, system integration, and staff training. We provide dedicated implementation support and ongoing account management.
Do you offer a pilot program?
Yes. We recommend starting with our AI Opportunity Audit ($149) to identify high-impact use cases, followed by a pilot program with a subset of clients before full deployment.
Your Advisors Should Be Advising
Every hour spent on compliance paperwork is an hour not spent with clients. Let AI handle the administrative burden while your team focuses on relationships and growth.
What could your firm accomplish with 30% more advisor capacity?