AI workflows for corporate finance advisers.

Firms that advise companies on raising capital, mergers and sales.

Who does this work

  • Managing director
  • Associate
  • Analyst

19 workflow templates for finance and investment ready to adapt, and 37 workflows identified across the industry.

Updated

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Examples of the workflows identified across the industry
  1. Build a graded target account listIllustrative
  2. Support quality of earnings adjustmentsIllustrative
  3. Calculate advisory fees and check them against custodian debits
  4. Check a batch of client reports before release
  5. Check a supplier's evidence against the approval criteria

Workflow templates for finance and investment

These are written for finance and investment as a whole and apply across the industry, corporate finance advisers included.

Client 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 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 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 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 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 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 templateAuthority comparison tableFrom the opinions, statutes and regulations counsel selected, and only those, the researching lawyer gets one side-by-side table: each authority's court, date, stated issue, operative words, posture and separate opinions, quoted with pinpoints, and a list of every quotation to check. The lawyer decides what applies. Prepares work for a lawyer. Not legal advice.Workflow templateBuyer security questionnaire answersWhen a buyer sends a security questionnaire, your sales owner gets a draft answer matrix: each question beside the evidence your security owner supplied, its date, its limits and a named reviewer, with stale, partial and unverifiable answers marked.Workflow templateDataset profileBefore anyone joins or relies on a new export, the analyst gets one profile of it: what one row stands for, where keys repeat, what is missing, which values look odd, and a numbered list of questions for the data owner. No data is changed and no verdict is given.Workflow templateDelegation brief and follow-upEvery task a manager hands over goes with a clear brief: what to deliver, in what form, by what date and time, why it matters, who will use it, what the person may decide alone and when the manager will check in. Each week, one list shows what is open, what is late and the next note to send.Workflow templateInbox triageThe owner, or the assistant who keeps their inbox, starts the day knowing what needs a reply today, what can wait and until when, and what belongs to someone else, with a draft or a forwarding note for each. Nothing is sent, archived, deleted or moved, and no mailbox login is needed.Workflow templateOutside-counsel invoice questionsWhen a law firm’s invoice arrives, legal operations has one worksheet ready: every line set against the agreed rates, the approved matter budget and the company’s own billing guidelines, each difference written as a neutral question for the firm. Nothing is sent, paid or rejected until people decide. Prepares work for a lawyer. Not legal advice.Workflow templateProperty diligence indexThe transaction lead gets a diligence room in order: every document indexed by workstream, every checklist item and request tracked, and every open finding tied to the report or request that raised it. Specialists judge the findings; nothing is valued or sent.Workflow templateProperty owner reportA property manager gets the month's owner report drafted from the statements and logs they supply: occupancy, collections, open maintenance and the decisions the owner is asked to make, each statement traced to its source and each gap shown.Workflow templateRent roll to lease abstract matchYour property accountant gets the rent roll checked against the verified lease abstracts and amendments, unit by unit: rent, area, commencement and expiration, with every difference listed for review. It compares supplied fields only and corrects nothing.Workflow templateResearch summary briefAn executive handed a pile of reports, articles or papers gets one brief: what each source found, where the sources agree and disagree, the limits of each, and exact quotations cited to the page. Built only from the documents supplied. What it means for the business stays the reader's call.Workflow templateSpreadsheet check before sharingBefore a model or schedule goes to a client, a lender or a board, the sender gets one report on it: every error value, short total, buried assumption and hidden row pinned to its cell, each with a fix or a question, and a plain list of what was not checked. Nothing in the workbook is changed.Workflow templateUsability test session planBefore a prototype or a confusing flow goes in front of users, the research lead and product owner hold one plan: who to recruit, the tasks in plain words, the neutral prompts, a blank note sheet and how success is counted. Recording and data handling are listed as decisions.Workflow templateUser research planWhen a design decision needs user evidence, the research lead gets one study plan: what the team needs to know, what evidence already exists, method options with their hours, participant criteria, permissions needed, how answers will be read and what the study cannot establish.Workflow template

Workflows identified across finance and investment

Identified for the industry as a whole, so they apply to corporate finance advisers as well. Marked illustrative: an example of the work, identified, with no workflow template yet.

Trading and custody operations

Prepare a corporate action deadline briefGives operations one brief for a corporate action on held securities: affected holdings, quoted options, every deadline, standing instructions and what is unconfirmed.Workflow templateWork the trade settlement exception listGives the operations lead one aged worklist of unmatched or failed trades with terms, confirmation status, instructions and custodian differences, each with a proposed owner.Workflow template

Advisory and client service

Reconcile CRM records against another system's exportCompares CRM records with an external system's export and lists missing links, possible duplicates and field-by-field differences, each with a proposed correction for the owner to approve.Workflow template
Prepare the periodic client business reviewGives the account manager a review pack built on the customer's goals: results for the period with sources, open issues, next-period goals and an agenda.Illustrative · not built yet

Reporting and investor relations

Check a batch of client reports before releaseA report-by-report log of membership, periods, totals against source statements, fees and missing sections, with each difference marked for correction.Workflow template
Answer a buyer's security or due-diligence questionnaire from approved answersDrafts answers to a buyer's or investor's security or due-diligence questionnaire from approved answers and evidence, with each gap marked for the owner.Illustrative · not built yet
Prepare a capital call packGives the fund team a draft allocation schedule and notice pack checked against administrator-approved amounts and investor records.Illustrative · not built yet

Firm finance and billing

Calculate advisory fees and check them against custodian debitsGives the operations lead calculated fees by account and household, draft invoices and differences against what the custodian debited.Workflow template
Prepare and track the month-end close checklistGives the controller a dated close checklist with owners and dependencies, and during the close the tasks that are blocked and the support still missing.Illustrative · not built yet
Reconcile cash accounts to the ledgerGives the accountant a reconciliation of bank or cash records to the ledger with matched pairs, aged open items and entries to prepare.Illustrative · not built yet

Governance and control evidence

Check a supplier's evidence against the approval criteriaSets a proposed or renewing supplier's documents against the business's own criteria (data handling, security, continuity, responsible sourcing or quality), separates claims and self-attestations from independent evidence, and drafts the questions for each gap before approval or adoption.Workflow template
Prepare the board meeting packAssembles the pre-read, agenda and decision requests for the next board meeting, with missing reports flagged, for the chief executive or board secretary.Illustrative · not built yet
Track audit or examination requests to their evidenceGives the audit lead a request-by-request tracker for a financial, quality or regulatory audit or examination: each request linked to the document that answers it, with owner, version, status and what is still missing.Illustrative · not built yet

Client development and communications

Adapt an approved piece into other formatsDraft social posts, newsletter text and short-video outlines that keep the original's evidence and qualifications.Illustrative · not built yet
Find deals that have stopped movingProspect conversations with promised materials and no owner for the next step.Illustrative · not built yet
Turn a meeting into a follow-upGives the person who held the meeting a recap draft with agreed next steps, promises by both sides and open questions.Illustrative · not built yet

Onboarding and account records

Check a new intake is complete and hand it onHolds a new application, referral, inquiry, claim, change request or offer against its required-items checklist, names each missing item and who supplies it, drafts the request and hands one complete packet to the person who acts.Illustrative · not built yet
Index a loan document file against its checklistGives the next reviewer an indexed pack comparing received agreements, schedules and amendments with the closing checklist.Illustrative · not built yet
Track investor subscription documents before a fund closingGives the fund team an investor-by-investor receipt tracker and exception list, with side-letter differences linked to sources.Illustrative · not built yet

Investment research and monitoring

Prepare the investment committee memoDrafts the factual sections, terms table and evidence index for an investment committee, separating verified findings from deal-team assumptions.Illustrative · not built yet
Prepare the questions for a management interviewA prioritized brief for a management interview or diligence call, with source-backed questions tied to discrepancies, earlier answers and conflicting accounts, and the records to request.Illustrative · not built yet
Review portfolio company reporting packsCompares each portfolio company's operating pack with budget and prior periods and lists missing metrics and questions for management.Illustrative · not built yet

Valuation and liquidity records

Check the inputs for a fund liquidity reviewGives the risk owner a readiness report matching holdings and restrictions to market data dates, redemption obligations and approved scenarios.Illustrative · not built yet
Trace a valuation change to its evidenceGives the valuation committee an investment-level bridge linking marks, methodology changes, valuation dates and approvals, with missing support.Illustrative · not built yet

People and operating know-how

Plan a new employee's onboardingClient service associates and analysts learn regulated client and operations routines under named supervisors.Illustrative · not built yet
Plan team capacity against upcoming workClient review and reporting deadlines bunch onto the same associates.Illustrative · not built yet
Write a procedure from how the work is doneTurns a walkthrough of how one piece of work is really done into a written procedure with steps, owners, completion checks and exceptions.Illustrative · not built yet

Other workflows

Check a call summary against the transcriptLists amounts, dates, outcomes and statements in a service call summary that the transcript does not support, with the passages.Illustrative · not built yet
Check a counterparty certificate or bond against the source recordsA field-by-field comparison of a document the other side supplies with the contract and file records, with each mismatch raised as a verification question.Illustrative · not built yet
Check a provider's bill against the agreed ratesChecks a provider's invoice or statement (bank, marketplace, carrier, outside counsel) line by line against the agreed rates and the work or shipments recorded, and lists the charges to query.Illustrative · not built yet
Check approvals against the delegation of authorityCompares a sample of approved contracts, spend and hires with the board-approved delegation of authority, listing approvals above the approver's limit or with no recorded authority.Illustrative · not built yet
Check human oversight of an AI-assisted decisionGives the governance owner a worksheet on whether the human reviewer has the information, authority, competence, time and override records to make a real decision.Illustrative · not built yet
Handle a complaint or refund request under policyMatches a complaint or refund request to the order and the policy, works out any amount for a named person to approve, and drafts the reply.Illustrative · not built yet
Prepare a payment dispute responseGives the finance or support lead the dispute matched to the order, an evidence index, the customer history and a draft response.Illustrative · not built yet
Reduce noise from an alert or detection ruleExplains from alert history and dispositions why a data monitor or security detection rule fires too often, and proposes thresholds, exceptions and test cases that keep coverage.Illustrative · not built yet

The workflows identified for corporate finance advisers

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

Build a graded target account listFor a sale mandate, advisers grade likely buyers by strategic fit and ability to pay, each with a sourced reason to approach.Illustrative · not built yet
Support quality of earnings adjustmentsSell-side advisers tie each adjustment in the client's earnings bridge to ledger entries before buyers' diligence teams start testing them.Illustrative · not built yet

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All of finance and investmentEvery area of the industry, with workflow templates and examples.Map your team in the PlannerPut this work in your plan, with the roles that do it.

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