Key Benefits

How a wealth management firm used Power Automate and AI Builder to automate compliance documentation review, approval routing, and regulatory reporting workflows — reducing manual compliance administration time for advisers.

Compliance

Automated

Audit trail

Built-in

12 Weeks

Deployment

The Constraint

The Challenge

Compliance workflows at a wealth management firm required advisers to complete significant manual documentation for each client transaction, with approval routing handled informally through email. The review backlog created delays, and compliance reporting required manual data consolidation from multiple adviser workbooks.

The Outcome

The Solution

Techseria implemented Power Automate with AI Builder for automated document classification and data extraction from compliance documents. Structured approval routing replaced email-based sign-off processes, with Power BI providing compliance management with real-time visibility into approval queue status and audit trail.

Impact by the numbers

  • Metric 01
    96%
    Better Documentation Accuracy
    Error rates fell from 8% to just 0.3%
  • Metric 02
    100%
    Complete Audit Trails
    Full documentation of all compliance decisions
  • Metric 03
    85%
    Faster Regulatory Updates
    Implementation time reduced from 40 to 6 hours
  • Metric 04
    82%
    Quicker Risk Reviews
    High-risk transactions from 22 days to 4 days
  • Metric 05
    43%
    More Compliance Capacity
    Enabled support for firm expansion initiatives

Results

How a wealth management firm used Power Automate and AI Builder to automate compliance documentation review, approval routing, and regulatory reporting workflows — reducing manual compliance administration time for advisers.

Compliance Review Process

Faster - Structured approval workflows and automated document routing reduced the end-to-end compliance review timeline.

Documentation Backlog

Cleared - Automated processing of standard compliance documentation reduced the backlog that had built up under the manual system.

Documentation Time for Advisers

Less - Automated data extraction from standard forms reduced the time advisers spent preparing compliance documentation.

Adviser Capacity for Clients

More - Time freed from compliance administration was available for direct client service activity.

Microsoft Power Automate

AI Builder

Power BI

Regulatory API Integrations

Mobile Approval Interfaces

Build Stack

Technologies Used

Microsoft Power Automate
AI Builder
Power BI
Microsoft Power Automate
AI Builder
Power BI
Regulatory API Integrations
Mobile Approval Interfaces
Regulatory API Integrations
Mobile Approval Interfaces

Client Voice

Verified Delivery
"In financial services, compliance isn't optional, but it was consuming an unsustainable amount of our advisors' time and creating risk through inconsistent application. Techseria's Power Automate solution transformed compliance from a burden to a competitive advantage. Their team demonstrated an exceptional understanding of regulatory requirements in our industry, which allowed them to create automation that's both efficient and extremely thorough. We now process transactions faster while maintaining even higher compliance standards, and our recent regulatory examination went smoother than we ever thought possible. The ability to instantly produce complete documentation for any transaction has improved our audit readiness."
C
Client
Stakeholder·Wealth Management & Financial Services