The situation
The firm's compliance and operations teams were producing a high volume of documentation: client onboarding packs, KYC summaries, regulatory filing narratives, and internal audit reports. Each document required significant manual effort — pulling data from multiple systems, writing structured narratives, and formatting outputs to meet regulatory standards.
The head of operations estimated that compliance documentation was consuming 35% of the operations team's capacity. During peak regulatory periods, the team was regularly working evenings and weekends to meet deadlines.
The firm had previously attempted to implement an AI tool. The project stalled after three months because the tool had been deployed without redesigning the underlying workflows, and the team had reverted to their manual processes.
What we did
- 01
Started with a workflow redesign engagement before any AI was deployed. Documented the existing documentation processes in detail, identified the bottlenecks, and redesigned the workflows to be AI-ready.
- 02
Identified that the previous AI implementation had failed because it had been layered on top of broken processes. The new design eliminated three redundant steps before automation was introduced.
- 03
Deployed AI-assisted document generation across three workflows: client onboarding packs, KYC summaries, and regulatory filing narratives. Each workflow was integrated with the firm's existing data systems.
- 04
Worked closely with the compliance team to ensure all AI-generated outputs met regulatory standards. Built a review and sign-off process that maintained human oversight while eliminating the manual drafting work.