# Connect advisory, research and compliance Put AI to work across securities operations Source page: https://www.finogeeks.com/en/solutions/securities Language: en Connect client accounts, research materials, business knowledge and system tools to role-specific agents for brokerage, wealth, research, institutional services and operations teams. Use a dedicated AI workspace for client analysis, document preparation, content review and task handling, improving service efficiency while protecting data. ### Internal business resources Client accounts Research information Business interface Role-based agents · Enterprise knowledge / Business skills · Task execution ### Part of everyday work • Compliance and operation FinSAFE execution protection / FinGuard action governance / Manual audit and audit ## Built around each role / Support core securities workflows Build enterprise AI workspaces for client services, research, compliance reviews and internal operations. Client Manager Fortune Team ### Gather customer and account information, prepare for every service. Combine client information, account changes, communication history and institutional research to prepare client profiles, follow-up events and conversation outlines. Keep track of service progress. - Client analysis and service opportunities Summarize accounts, holdings, risk preferences and communication history to identify client needs and follow-up actions. - Visits and communication materials Use client context and product information to prepare meeting outlines, market commentary and service materials. - Follow-up logs and discs Organize service notes and follow-up tasks. Update CRM after confirmation and track progress. ### Clients are ready to visit. - Summary of clients and accounts - List of communications priorities and information - Client follow-up pending confirmation View verification material to confirm customer contact and CRM update Researcher Institutional Sales Research Services Team ### Collapse the market and research, and deliver the source and the perspective together. Connect research reports, disclosures, market data and news. Organize data and views by research topic for briefings, thematic reports and client communications. - Market dynamics and morning news Collect macroeconomic, industry and company developments, identify important changes and prepare morning briefings and topic summaries. - Checking of thematic information with sources Compare information across a research topic, link original sources and identify data and conclusions requiring verification. - Institutional service materials Prepare research views, discussion outlines and follow-up service items around institutional clients' interests. ### Research briefings - Market and industry highlights - Draft research materials with references - Data discrepancies and inventory to be verified Verification of data and findings by researchers and review as per the release process Compliance staff, operational auditors, operating teams ### Centralized verification of materials and operations in conjunction with operational systems and rules Apply company policies, product information and review rules to marketing content, research materials and client notifications. Link flagged content to the applicable rules and suggested changes. - Content and speech checks Check marketing claims, risk disclosures and source references. Identify content requiring business or compliance review. - Verification of material consistency Reconcile client materials, product information and applications and summarize the differences between missing items and information. - Approval and processing of records Link document versions, review comments and business-operation results for later inspection and traceability. ### Client communication material verification - Content issues and risk tips - Corresponding rules and sources of information - Pending amendments Following clearance by business and compliance staff, access to the dispatch or processing process • Internal audit ### Check the statements against the documents according to the rules, concentrate on differences and anomalies. Turn financial reconciliation rules, expense standards and approval requirements into skills. Check reports and reimbursement documents, identifying discrepancies, exceptions and recommended actions. - Audit of the financial statements Check relationships within and across financial reports. Identify differences in definitions, missing data and items needing review. - Inspection of commercial travel Compare requests, orders and expense claims. Check expense limits, duplicate requests and inconsistencies in dates and locations. - Unusual classification and review The classification of abnormal types, original documents and the basis of the rules are referred to the appropriate post for confirmation. ### Cost and document verification - List of discrepancies and anomalies in documentation - Corresponding cost criteria and original evidence - Treatment of pending recommendations Financial staff review abnormally and processed according to the original approval process R & D, tester, transport team. ### Connect code and develop tools to connect collaborative tasks to agent Connect code queries, pull requests, build status and development tasks through APIs packaged as skills or through MCP. Reduce searching and information assembly across tools. - Code & & Query Use authorized repositories, development documentation and issue records to identify relevant code and troubleshooting leads. - Merger requests for collaboration Summarize changes, discussion comments and pending items to help developers prepare review materials. - Build and publish follow-up Check CI/CD status and summarize exceptions and follow-up tasks. Release actions follow enterprise permissions. ### Research and development follow-up. - Code changes and task summaries - Build an anomaly and a clean trail - Follow-up pending review R & D personnel confirm changes and release operations and maintain implementation records ## A dedicated workspace for securities roles Build role-specific plugins for client services, research and business review, connected to knowledge bases, data APIs and tools. Employees can access information, review content and handle work in one application without repeatedly switching systems. ### Develop plugins for each role Configure dedicated interfaces, information and tools around the working practices of advisers, researchers, compliance staff and operations teams. ### One software completes all the work. Employees view business records, add information and review results. Agents assist using the same task context. ### Centralized management and updates Build an enterprise-owned FinDesk client and centrally maintain branding, plugins, runtimes and updates. ## Connect existing business systems / Complete tasks and archive results Connect existing systems through APIs, MCP and authorized tools. Combine enterprise knowledge and role-specific skills for information processing, employee review and business updates. ### Client and account systems CRM, client service history, account information and holdings support client analysis and follow-up. ### Research and knowledge resources Research reports, disclosures, market data, news and policy knowledge bases support retrieval, citation and consistency checks. ### Office and research and development tools Connect office automation, email, enterprise messaging, repositories and CI/CD for task handling and cross-team collaboration. ## Data security controls / Agent actions with approval and traceability Manage execution environments, business actions and content review separately. Apply file permissions, approvals and processing records to specific tasks. FinSAFE ### File and execution protection Define accessible directories, permitted tools, network destinations and resource limits. Apply enterprise security requirements to agent processes. - Limited access to documents, networks and tools - Managing operational resources and implementation records FinGuard ### Business-action authorization and approval Check permissions and approvals before CRM updates, message delivery and internal API calls. Centrally manage business credentials and duplicate requests. - Approve critical business actions before execution - Verification of results of implementation and avoidance of duplication Business review and audit ### Material and process traceability Link information sources, skill versions, review comments and execution results. Investment decisions, suitability reviews and trading continue to follow existing institutional rules and professional processes. - Keep source references and human review records - Review approvals and results by task ## Built on FDE delivery experience / Implement AI in securities workflows Drawing on FDE delivery experience, work with business, IT and compliance teams around the company's actual workflows. Configure knowledge, connect systems, set security policies and validate pilots so AI delivers practical business value. - 01 Select roles and workflows HF tasks, internal information, systems and receiving and inspection targets are collated. - 02 Configure knowledge and skills Collating business knowledge, operating methods, verification rules and output templates. - 03 Connect systems and permissions Completion of interfaces, workstations, security policy and approval nodes configuration. - 04 Validate the pilot and hand over Validation of results by real business assignments, from product delivery to value creation. ## Securities solutions / Frequently asked questions ### What kind of scenario can securities institutions start with? Start with frequent tasks such as meeting preparation, research organization, content checks or financial reconciliation. Select a pilot based on available information, APIs and responsibilities. Define inputs, outputs and review requirements, then expand to more roles. ### How can existing CRM, accounts and research systems be connected? Use APIs, MCP or authorized tools to access data and business operations. Organize existing interfaces as workspace plugins, maintain knowledge and methods in knowledge bases and skill catalogs, and route critical writes through the action gateway for checks and records. ### How is the content of the resulting investments or studies reviewed? Link materials to the information, citations and rules they use. Business staff verify data, conclusions and wording through existing review and publishing processes. Configure human confirmation and approvals before messages are sent or systems updated. ### Can it be deployed in the securities institution ' s own environment? Configure models, knowledge, runtimes and APIs on the institution's private network, in its data center or in a private cloud. FinSAFE manages execution environments and FinGuard governs business actions. FDE teams support workflow mapping, system integration, pilot acceptance and operational handover. ## Related resources - [Explore the FinDesk enterprise AI desktop](https://www.finogeeks.com/en/products/findesk) - [Explore FinSAFE](https://www.finogeeks.com/en/products/agent-security) - [Explore FinGuard](https://www.finogeeks.com/en/products/finguard) - [Explore FDE delivery](https://www.finogeeks.com/en/services/fde)