Financial Services
A governed AI platform for an FCA-regulated wealth manager
An FCA-regulated wealth manager needed AI deployed across compliance and advisory teams with full audit trails. We built the platform, integrated three systems, trained the teams, and shipped it with per-advisor client scoping.
85%
Adoption in month one
10K+
Compliance docs searchable
Full
FCA audit trail
The challenge
A mid-market wealth management firm (FCA-regulated, 150 staff) wanted AI deployed across compliance and advisory teams. The teams had no training, no governance framework, and no path to production. Their data sat across a CRM, a compliance document library, and a proprietary risk database. Every AI interaction needed FCA audit trails, and advisors could only access data for their own clients.
The solution
Mapped high-value use cases for compliance officers and financial advisors. Built the platform with SSO, per-advisor client scoping, and comprehensive audit logging meeting FCA requirements. Ran adoption workshops and established a governance framework for AI use with client data. Built custom integrations into the CRM, the compliance document library with retrieval over 10,000+ documents, and the risk database, all governed to the same access model the teams already used.
The outcome
Compliance queries across all three systems from a single interface
Full audit trail on every AI interaction meeting FCA record-keeping requirements
Per-advisor client scoping ensuring data segregation between teams
Retrieval over 10,000+ regulatory documents with accurate citation to source policies
Adoption rate of 85% across target users within the first month
Start here
Book a call. We will show you what production AI looks like for your business.
Tell us where you are: stalled pilots, a platform you are evaluating, or teams you want building. We will map the highest-value use cases and show you a realistic path to production. No obligation, no slides.