Broadridge Financial Solutions has deployed a large-scale, institutionally viable agentic AI framework across capital markets and wealth operations. This strategic move integrates AI-driven automation across the entire value chain, from data ingestion to decision-making. The platform is available as a managed service or standalone solution.
Overview
The agentic AI capabilities are powered by the industry's first completed financial services data ontology, which provides a normalized and trusted foundation for AI adoption. This ontology draws on more than 60 years of operational experience, $15 trillion in daily trading activity, and the processing of billions of transactions annually across multiple asset classes and dozens of clients.
What it does
The agentic AI capabilities can analyze issues, prioritize exceptions, and initiate resolution, reducing manual burden and refocusing human expertise on complex cases, client service, and risk-reduction. Capabilities now in production include automated trade fails management and break resolution, account opening and maintenance workflows, real-time valuation exception handling, customer inquiry automation, and email workflow processing.
Tradeoffs
The platform operates on four integrated layers: the Data Layer, the API Layer, the Workstation Layer, and the Agentic Intelligence Layer. This architecture maintains the oversight, auditability, and regulatory control that financial institutions require. Broadridge's agentic infrastructure is built to open standards, allowing firms to deploy Broadridge-provided agentic workflows or connect their own.
In conclusion, Broadridge's deployment of agentic AI has the potential to drive up to 30% operational cost reductions for new clients, with additional savings over time. The platform's ability to integrate AI-driven automation across the entire value chain makes it a significant development in the financial services industry.