The Challenge

The wealth management firm was struggling beneath a compliance burden that threatened both their growth trajectory and regulatory standing while managing $1.8 billion in assets across seven states. Their compliance review process crawled at a glacial pace—taking up to 15 days for complex transactions and creating a perpetual backlog of 40-60 pending items that delayed client investment activities and damaged relationships. Financial advisors were drowning in paperwork, sacrificing nearly 22% of their client service capacity to compliance documentation tasks. The compliance team of just three officers was working at 127% capacity with mounting burnout as they manually tracked regulatory changes across multiple jurisdictions. Most concerning was the 8% error rate in compliance documentation, creating an existential regulatory risk for the firm. High-value transactions exceeding $250,000 languished for an average of 22 days awaiting compliance approval—an eternity in volatile markets where timing is critical. With planned expansion into two additional states and regulatory requirements growing increasingly complex, the firm faced a compliance crisis that threatened to derail both their growth plans and their reputation for client service excellence.

Our Solution

We engineered a comprehensive Power Automate compliance ecosystem that transformed the firm's approach from a manual, resource-intensive burden into a streamlined, intelligent process. Our approach began with a two-week assessment where we documented 37 distinct compliance workflows and analyzed transaction processing patterns. We then implemented a multi-component solution featuring AI Builder models trained on 2,500+ previously processed documents to automatically classify incoming materials by risk level and extract key compliance data with 98.7% accuracy. The system included 27 automated compliance rule sets that verified transactions against 143 distinct regulatory checkpoints, intelligent approval routing based on transaction characteristics and risk profiles, automated regulatory update integration, and comprehensive audit documentation capabilities. The implementation followed a carefully phased 16-week approach that delivered immediate value while building toward a complete compliance transformation, with each component designed to meet the specific regulatory requirements of wealth management while integrating seamlessly with existing advisor workflows.

Technologies Used