AI workflows for asset and wealth managers.

Firms that invest money on behalf of clients, from wealth advisers to fund managers.

Who does this work

  • Wealth adviser
  • Portfolio manager
  • Chief compliance officer

6 workflow templates ready to adapt, and 18 workflows identified.

Updated

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Examples of the workflows identified
  1. Calculate advisory fees and check them against custodian debits
  2. Check a batch of client reports before release
  3. Check a supplier's evidence against the approval criteria
  4. Prepare a corporate action deadline brief
  5. Reconcile CRM records against another system's export

The workflows identified

Marked illustrative: an example of the work, identified, with no workflow template yet.

Calculate advisory fees and check them against custodian debitsWealth managers bill on assets under management by household, collected by custodian debit.Workflow templateCheck a batch of client reports before releaseWealth client reports checked by household against custodian statements and fee figures.Workflow templateCheck a supplier's evidence against the approval criteriaA material service provider to a regulated financial firm is reviewed against the firm's due-diligence criteria, with dated reports and attestations kept apart.Workflow templatePrepare a corporate action deadline briefCustodian notices and record-date holdings drive the deadlines.Workflow templateReconcile CRM records against another system's exportCompares client households and accounts in the advisory CRM with the custodian's account export.Workflow templateWork the trade settlement exception listTrade settlement depends on confirmations, standing instructions and custodian reports.Workflow template
Adapt an approved piece into other formatsSource is reviewed market commentary; any changed claim needs compliance attention.Illustrative · not built yet
Answer a buyer's security or due-diligence questionnaire from approved answersA prospective investor's due diligence questionnaire for a fund, with stale performance figures flagged.Illustrative · not built yet
Check a new intake is complete and hand it onHousehold account-opening documents, checked for inconsistent names and unsigned sections.Illustrative · not built yet
Check the inputs for a fund liquidity reviewFunds must test whether holdings can meet redemptions under stated scenarios.Illustrative · not built yet
Prepare and track the month-end close checklistAn investment firm close depends on fund-level schedules and valuations as well as firm books.Illustrative · not built yet
Prepare the board meeting packA fund board approves items such as contracts and valuations, each needing regulatory support on file.Illustrative · not built yet
Show all 18 workflows
Prepare the periodic client business reviewA household's periodic advisory review, with portfolio report figures and changes since the last review.Illustrative · not built yet
Reconcile cash accounts to the ledgerInvestment firms match bank and custodian cash to settlement records daily and age each break.Illustrative · not built yet
Trace a valuation change to its evidencePrivate holdings are marked by methodology and committee approval rather than market price.Illustrative · not built yet
Track audit or examination requests to their evidenceA regulatory examination of an investment firm requests compliance records as well as financial evidence.Illustrative · not built yet
Turn a meeting into a follow-upFollows an introductory meeting with a prospective advisory client.Illustrative · not built yet
Write a procedure from how the work is doneOnboarding and billing exceptions in an investment operations team.Illustrative · not built yet

Workflow templates

Household fee checkOn the fee review date, the billing owner gets a fee check by account and household that applies the firm's own agreed schedules and approved waivers to the valuation files, with draft invoice lines, differences against custodian debits and every doubtful account kept apart for review.Workflow templateClient report check logBefore a batch of client reports is released, the reporting lead gets a log, report by report, of household membership, periods, totals against the custodian statements, fee figures and missing sections, with every difference marked for correction. Nothing is released or sent.Workflow templateService provider evidence matrixWhen a material service provider needs approval or renewal, the vendor owner gets one matrix: the provider's evidence set against the firm's own review criteria, with self-attestations, dated reports and untested claims kept apart from independent evidence, and every unanswered question listed.Workflow templateCorporate action deadline briefWhen a custodian notice announces an event on securities your firm holds, operations has one brief: the affected holdings, the options as the notice quotes them, every deadline, the instructions on file and what is still unconfirmed. It recommends nothing and submits nothing.Workflow templateHousehold record differencesWhen the CRM and the custodian's account export disagree about a household, the operations owner gets one comparison: accounts with no household, possible duplicates and field-by-field differences, each with its source row and a proposed correction left as a question. No record is changed.Workflow templateSettlement exception worklistWhen the settlement report shows unmatched or failed items, your operations lead gets one aged worklist: each trade's terms, confirmation status, supplied instruction and custodian differences side by side, with a proposed owner. The lead validates and assigns; nothing is sent or moved.Workflow template

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Where to go next

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