Category: Wealthtech and Compliance AI
Financial services firms do not get to move fast and break things. These essays cover deploying AI compliantly in wealth management and regulated communications: what FINRA and SEC expectations mean in practice, how advisors can use generative AI without creating supervision gaps, and why the fastest firms rebuild their compliance core before scaling AI. Grounded in two decades building compliance technology, including archiving platforms acquired by RegEd and Smarsh. Start with Scaling Trust: Wealth Advisors, AI and the Gen Z Market.
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Why the Fastest Firms are Rebuilding their Compliance Core Before Scaling AI
The TL;DR for Executives The competitive advantage in the AI era is determined by the cadence at which a firm can execute. Most organizations are currently “bolting AI” onto legacy operating models designed for the constraints of human bandwidth (weekly reviews and monthly sprints). This creates a mismatch between silicon speed and organizational lag. To…
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Scaling Trust: Wealth Advisors, AI and the Gen Z Market
TL;DR for Executives Wealth management firms face an unprecedented $124 trillion intergenerational wealth transfer. Capturing the skeptical Gen Z market requires deploying generative AI, but not for automated advice. The winning strategy is the “Augmented Advisor” model. This is about leveraging enterprise-grade AI to automate large portions of administrative and research tasks, unlocking advisory capacity…