Overview
A mid-sized wealth management firm with $4B AUM was spending 200+ analyst hours per quarter on regulatory filings — FINRA FOCUS reports, SEC Form ADV amendments, and internal compliance audits. The process was manual, error-prone, and pulled senior analysts away from client-facing work.
We built an end-to-end automation platform that extracts data from their portfolio management and trading systems, validates it against regulatory schemas, generates compliant report drafts, and routes them through an approval workflow — reducing their quarterly reporting cycle from 3 weeks to 2 days.
System Architecture
1. Data Extraction & Normalization
Automated connectors to the firm’s core systems with intelligent reconciliation to catch discrepancies before they reach the filing stage.
- Automated connectors to Advent Geneva (portfolio accounting), Bloomberg AIM (trading), and Salesforce CRM
- Schema mapping engine normalizes disparate data formats into a unified regulatory data model
- Automated reconciliation catches discrepancies before they reach the filing stage
- Change-data-capture for real-time position and transaction updates
2. Intelligent Report Generation
A template engine with regulatory-specific logic combined with AI validation and natural language generation for narrative sections.
- Template engine with regulatory-specific logic for FINRA FOCUS, SEC ADV, Form PF, and 13F filings
- AI validation layer cross-references generated figures against historical filings and known regulatory thresholds
- Natural language generation for narrative sections (MD&A, risk disclosures)
- Version control with full diff tracking between draft iterations
3. Approval Workflow & Audit Trail
Multi-stage review with complete traceability from source data to final submission, plus automated deadline management.
- Multi-stage review workflow: analyst → compliance officer → CCO sign-off
- Every data point traceable to source system, timestamp, and transformation applied
- Automated regulatory calendar with deadline tracking and escalation alerts
- One-click submission to FINRA Web CRD and SEC EDGAR
Architecture & Infrastructure
Data Layer
Advent Geneva, Bloomberg AIM, Salesforce connectors, unified data lake
Processing
AWS Step Functions orchestration, Lambda compute, regulatory schema validation
AI Layer
GPT-based narrative generation, anomaly detection, cross-filing validation
Compliance
Full audit trail, SOC 2 compliant infrastructure, encrypted at rest and in transit
Performance
FINRA FOCUS Generation
4 hours (was 5 days)
SEC ADV Amendments
2 hours (was 3 days)
Error Rate
0.3% (was 4.7%)
Audit Trail Coverage
100% of data points
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