How an SEC-regulated firm puts a secure AI assistant in front of every employee, connected to the systems they already use, with the governance its examiners expect. The client is anonymized; the platform and the results are real.
Staff at a 200-person wealth management and trust organization want AI help with drafting, analysis and research every day. Consumer chat tools aren’t an option for a firm that handles client financial data under SEC, GLBA and FFIEC expectations.
So the platform has to run inside the firm’s own cloud, respect who can see what, work with real operational data, produce finished work rather than chat transcripts, and leave an audit trail leadership and examiners can stand behind. It does all of that today.
Staff sign in with their existing Microsoft Entra ID accounts under the firm's Conditional Access policies. Security groups map people to three roles, so sensitive data sources and admin reporting appear only for the people entitled to them. Administrative functions require a verified identity token.
The assistant can reach the firm's service desk, network management platform and CRM performance warehouse, plus the web for time-sensitive questions. Staff ask in plain language and get answers from current data, with links that go straight to the underlying ticket.
Ask for a proposal, a policy draft, a board deck or a spreadsheet and the platform builds a real Word, PDF, PowerPoint or Excel file with a live preview in the browser. An automated review pass checks layout and content before anything is delivered.
Files are produced by code the model writes, so that code runs in a disposable container created for each request, on an isolated network with no internet access and no cloud identity. Only the validated file comes back. The design went through a formal security review before launch.
Every turn is logged with who asked, which model answered, tokens used, cost, time to first word and total duration. Leadership gets usage and cost by person and by model, and the team can spot a slow or failing build before a user reports it.
Separate staging and production environments, automated tests that must pass before a deploy, and version stamps that confirm the front end and back end match. User feedback flows into the service desk as tickets, and every production release publishes plain-language release notes inside the app.
The controls come first, not as an afterthought. That’s what keeps the platform running company-wide instead of stalled in review.
In production for every employee, not parked as a pilot.
First drafts of documents, decks and spreadsheets arrive as real files, typically in a few minutes.
Questions about tickets, network health and CRM performance can be answered without anyone pulling a report.
Leadership sees exactly what the platform costs and how it performs, by person and by model.
Most engagements start with a readiness assessment: which use cases are worth building, what your data allows, and what your compliance team needs to see. Book a free 30-minute call to talk it through.