For financial advisers, planners and wealth firms
30+ hrs
a month back from report assembly, KYC chasing and provider follow-up
3
first builds: suitability drafts · KYC chase · review packs
Why now
The FCA now runs AI Live Testing so firms can trial AI in live conditions with regulatory oversight, with a focus on risk management and live monitoring. We build the same way: each draft records which data it used and who approved it.
The hours go into assembling reports and chasing documents, not advice. Automate the assembly and chasing; keep the advice.
What we fix
You do this by hand: Paraplanners build each suitability report from several systems.
We build this: Client facts, risk profile and product data pulled into your template; the adviser edits and approves.
Result: Paraplanners edit a draft instead of building from blank.
You do this by hand: Clients are chased for weeks for ID and proof of address.
We build this: Secure upload link and automatic reminders; compliance alerted only when a document is overdue.
Result: Onboarding keeps moving without compliance doing the chasing.
You do this by hand: Annual review packs are copy-paste from the platform, CRM and cash-flow tool.
We build this: Review packs assembled from those sources on a schedule, ready for adviser commentary.
Result:
You do this by hand: Client details are typed into every system separately.
We build this: A change is made once and synced to the back office, platform and CRM.
Result:
You do this by hand: Chasing providers for valuations and LOAs is endless phone and email.
We build this: Every request logged with a due date; reminders and escalation run automatically.
Result: The full history sits on the client file, ready for file review.
What we build
01
Client facts, risk profile and product data are pulled into your report template with narrative prompts; the adviser edits and approves; inputs and approver are logged.
Expected impact
Each draft records which data it used and who approved it.
Data to report
Sources
Back office · platform · CRM · risk profile tool
Report draft
Your template, data filled
Adviser edits & approves
Human approvalFiled with audit log
02
Clients get a secure upload link and automatic reminders; compliance is only alerted when a document is overdue past your allowed window.
Expected impact
Compliance is alerted only when a document passes your allowed window.
KYC chase
Secure upload link sent
Automatic reminders
Branch: Overdue past your window
Compliance alerted
Document received, onboarding continues
03
Every LOA and valuation request is logged with a due date; reminders and escalation run automatically; the full history sits on the client file.
Expected impact
Every request has a due date and an owner; reminders and escalation run without anyone having to remember.
Provider chase log
| Provider | Request | Status |
|---|---|---|
| Provider A | LOA | Received |
| Provider B | Valuation | Reminded |
| Provider C (flagged)Past due date | LOA | Escalated |
04
Review packs are assembled from platform, CRM and cash-flow data on a schedule; client detail changes are made once and synced to every system.
Expected impact
Reviews start from a complete pack; records match everywhere.
Enter once, synced everywhere
Client record (Edited once), which updates Back office (Updated), Platform (Updated), CRM (Updated).
How it goes live
Every output logged with its inputs
Each draft and decision records the data it used and who approved it, so file reviews and audits have the evidence.
Tested on dummy clients before live
Every workflow runs on test client records first, so nothing reaches a real client until it has been checked.
Your compliance rules built in
Your thresholds and policies are part of each workflow, so compliance can see exactly where they apply.
Advisers approve from one screen
Drafts, packs and chases waiting for sign-off sit in one place, so approval takes minutes, not a search.
Audit trail
What we measure
Review-pack completion time
KYC document completion
Provider response turnaround
Compliance exceptions per quarter
Industry signals
FAQ
Next step