A leading wealth management firm faced the challenge of delivering fast, compliant AI-powered insights across a vast and growing knowledge base while meeting the strict security and quality standards of financial services. By embedding a rigorous evaluation framework, optimising retrieval at scale, and maintaining human oversight with zero data retention, the firm deployed AI tools that now support over 98% of advisors in daily workflows. Document access jumped from 20% to 80%, query coverage expanded from 7,000 questions to a corpus of 100,000 documents, and client follow-ups accelerated from days to hours. The result is a trusted, scalable AI platform that frees advisors to focus on relationships and higher-value work while strengthening compliance and operational efficiency.

Case Study Source: OpenAI

Problem Statement

The firm needed to deploy AI that delivers fast, reliable and compliant answers from a vast knowledge base, automates repetitive summarisation, and supports high‑quality client interactions—without compromising security.

Goal

Embed AI into advisor workflows to speed up information retrieval, automate summarising research reports, and provide tailored insights, all under a rigorous evaluation framework that meets strict firm standards.

Challenges

Meeting stringent financial services requirements for quality, reliability, and compliance.

Ensuring accurate, coherent summarisation of complex, process‑driven content at scale.

Supporting multilingual client needs with dependable translation.

Scaling retrieval across an expanding library—from 7,000 questions to a corpus of **100,000** documents.

Protecting proprietary data with robust controls and a zero data retention posture.

Actions

Established a firmwide evaluation framework to test every AI use case before rollout, with expert review and iterative prompt refinement.

Ran targeted summarisation and translation evals, grading outputs for accuracy and coherence to guide improvements.

Optimised retrieval methods with the technology partner to handle a rapidly growing document corpus.

Implemented daily regression testing and quality assurance to identify weaknesses and ensure compliant outputs.

Deployed an internal assistant for knowledge retrieval and a meeting debrief tool that turns consented recordings into CRM‑ready notes and draft follow‑ups.

Kept humans in the loop—advisors review and adjust AI‑generated outputs—and enforced zero data retention with the partner.

Impact:

Strengthened trust in AI through rigorous controls, daily QA, and a zero data retention approach suited to a regulated environment.

Created a platform foundation that scales across departments—evolving the assistant into a “super app” for employees and enabling new services.

Reduced friction between knowledge and communication, allowing advisors to engage clients on more topics with confidence.

Transforming Wealth Management with Secure AI

A leading financial services firm faced a familiar challenge: advisors were drowning in information. With thousands of research reports, compliance documents, and client materials to navigate, finding the right answer quickly was becoming impossible. The firm needed intelligent automation that could surface reliable insights and handle routine tasks—all whilst meeting the exacting standards of a regulated industry.

The Challenge

Financial services doesn’t allow for shortcuts. Every AI output had to be accurate, compliant, and auditable. The firm was managing an enormous knowledge base that kept growing—from 7,000 frequently asked questions to a library of 100,000 documents. Advisors needed to find answers fast, summarise lengthy reports without losing critical detail, and serve clients in multiple languages. Perhaps most importantly, sensitive client and proprietary data had to stay protected, with no information leaking to external systems.

Building Trust Through Rigour

Rather than rushing AI into production, the firm built a comprehensive testing regime. Every use case was evaluated before launch. Experts reviewed outputs. Prompts were refined repeatedly until they consistently delivered quality results. This wasn’t a one-off exercise—daily checks ran automatically to catch any drift in performance.

The firm worked closely with its technology partner to fine-tune how the system searched and retrieved information. They stress-tested summarisation and translation features, scoring each output for accuracy and readability. Importantly, humans remained central to the process. Advisors always reviewed AI-generated content before it reached clients. And to protect confidential information, the partner agreed to a zero data retention policy.

Two Tools, Daily Impact

The firm rolled out two core capabilities. First, an internal assistant that lets advisors query the firm’s entire knowledge base instantly. Second, a meeting debrief tool that converts recorded client conversations—with full consent—into structured notes ready for the CRM, plus draft follow-up emails.

The Results Speak Clearly

Adoption was swift. Within months, 98% of wealth management advisors were using the tools regularly. Document accessibility jumped from 20% to 80%, meaning advisors could now find four times as much information in a fraction of the time. The knowledge assistant expanded to handle queries across the full 100,000-document corpus—a fourteenfold increase in coverage.

Client service improved noticeably. Follow-ups that once took days now happen within hours. Advisors spend less time hunting for documents or typing up meeting notes, and more time building relationships and solving complex client needs.

A Foundation for the Future

The initiative did more than streamline workflows. It proved that AI can earn trust in a heavily regulated setting when you combine rigorous testing, human oversight, and strong data controls. The assistant is evolving into a multi-purpose platform—a “super app” used across departments for diverse tasks.

Most importantly, the firm reduced the friction between knowing and doing. Advisors now engage clients on a broader range of topics with confidence, backed by instant access to verified information. The technology handles the repetitive work, freeing professionals to focus on what they do best: understanding clients and delivering thoughtful advice.