Broadridge has put agentic AI tools into production across post-trade and wealth operations, following deployments within its managed services business since 2024. According to the firm, the technology is now used across more than 40 clients and processes millions of operational transactions each month.
The AI tools are designed to analyse operational exceptions, prioritise cases and initiate resolution processes while remaining under human supervision.
Trade fails and exception management
Current production use cases include trade fail management, break resolution, valuation exceptions, account opening and email workflow processing. Firms can access the technology either through Broadridge-managed operations or by integrating the platform into their own infrastructure through APIs.
Broadridge states that new managed services clients could see operational cost reductions of “up to 30%” at deployment, with additional savings possible over time as the AI models continue to develop.
“We believe the firms that lead in the next era of financial services will be the ones that embed AI directly into the way work gets done,” said Tom Carey, president of Broadridge’s global technology and operations business.
Data layer behind the rollout
The rollout is built around what Broadridge describes as a completed financial services ontology: a normalised data layer intended to support AI-driven operational processing across fragmented systems.
According to the firm, the model is based on decades of operational processing data, including billions of transactions annually and around US$15 trillion in daily trading activity.
“All workflows operate within a human-supervised architecture,” the company states, adding that auditability and regulatory controls remain part of the setup.
