AI automation for
financial services
Automate client onboarding, document checks and review preparation while Wanzo manages the IT, cloud and connectivity your firm relies on.
Financial advisers, wealth managers and operations teams repeat the same administration across every client relationship. Fact-finds arrive through forms, email and PDFs, then staff rekey details into CRM and back-office platforms. Identity evidence, source-of-funds documents and provider paperwork need chasing, checking and filing before onboarding can move forward.
The workload continues after a client is live. Teams prepare annual review packs by pulling valuations, contributions, withdrawals, fees and correspondence from several systems. Meeting notes become suitability records and follow-up tasks. Shared inboxes fill with valuation requests, change-of-address forms and document queries. Spreadsheets track missing evidence, review dates and cases waiting on providers. We automate defined parts of that work, keep approval points with your team and support the service on a monthly retainer.
Where the time goes
Onboarding evidence chasing
Teams chase passports, proof of address, source-of-funds evidence and signed forms across email and provider portals, then rekey the same client details into CRM and back-office systems.
Annual review preparation
Before each annual review, staff gather valuations, contributions, withdrawals, fees, risk records and previous correspondence from back-office platforms, provider portals, spreadsheets and document folders by hand.
Suitability record drafting
Advisers and paraplanners turn fact-finds, meeting notes and recommendations into suitability records, then check every field against approved wording before documents can be issued to clients.
Shared inbox administration
Operations teams monitor shared inboxes for valuation requests, beneficiary changes, withdrawals, transfer updates and missing paperwork, manually assigning each message and updating case trackers in spreadsheets.
What we’d build
Structured client onboarding
We build an onboarding workflow that extracts details from submitted forms and documents, checks required evidence, updates case status and sends approved reminders when information is missing.
Automated review packs
We connect supported back-office data, provider exports and document stores to assemble a review pack, flag gaps and route the file to the adviser for checking.
Controlled suitability drafts
An AI assistant turns structured fact-find data and meeting notes into a first draft using your approved templates, with mandatory human review before anything reaches the client.
Intelligent inbox routing
We classify messages arriving in Microsoft 365, extract the client, provider and request type, create the right task and direct exceptions to the relevant employee.
The infrastructure behind every workflow
Client files, regulated communications and automated workflows depend on controlled access and reliable systems. Wanzo can manage Microsoft 365, Azure, cybersecurity and the devices your employees use, with 24/7 monitoring and a four-hour response commitment. We also manage leased lines, SD-WAN and network infrastructure under a 99.9% uptime SLA, so there's one team responsible for the technology beneath the automation.
Questions people ask
Can AI automate financial adviser client onboarding?
Yes, but the useful work is narrower than replacing the adviser or making regulated decisions. An onboarding workflow can capture fact-find details, identify missing identity and source-of-funds evidence, update case stages and issue approved reminders. It can also prepare information for CRM or back-office entry where supported. Your employees keep control of exceptions, client communication and final approval. We map those checkpoints before building anything.
How can wealth managers automate annual reviews?
Start by bringing together the information staff already collect: current valuations, contributions, withdrawals, fees, risk records, previous recommendations and outstanding actions. Wanzo can build a workflow that pulls supported data or imports approved exports, assembles the pack, identifies missing items and routes it for adviser review. The adviser still decides what the client needs and approves the final record. Automation removes preparation and chasing, rather than the judgement.
Can AI connect with Intelliflo or Iress Xplan?
Potentially. Integration depends on the access, API and export options available in your version of Intelliflo Office, Iress Xplan or another back-office platform. We review that first, alongside Microsoft 365, SharePoint, CRM, document storage and provider portals. Where direct integration is supported, we can connect the workflow. Where it isn't, controlled imports or exports may be more appropriate. We won't promise a connection until we've checked the system and permissions.
Is AI automation suitable for FCA-regulated firms?
It can be, provided the workflow reflects your firm's controls and doesn't hand regulated judgement to a model. We define what the automation may read, draft, update or send, then place employee approval around sensitive steps. Records of source documents, statuses and approvals should remain available for your compliance process. Wanzo also manages cybersecurity and Microsoft cloud services alongside the automation. Your compliance advisers should confirm that each use fits your permissions and obligations.
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