Broadridge Deploys Agentic AI Across Capital Markets Operations
Broadridge Financial Solutions has moved its agentic AI capabilities into production across capital markets and wealth management operations, automating tasks that operations teams currently handle manually. The platform analyzes operational issues, prioritizes exceptions, and triggers resolutions while keeping humans in the loop.
The company said new clients can cut Day 1 operational costs by up to 30%. Broadridge offers two deployment options: fully managed services where Broadridge runs the workflows, or direct deployment into a client's own systems.
More than 40 clients have deployed the system since 2024. It processes millions of operational transactions monthly across post-trade operations, account management, and customer service workflows.
What the system handles today
- Automated trade fails management and break resolution
- Account opening and maintenance workflows
- Real-time valuation exception handling
- Customer inquiry automation
- Email workflow processing
The AI agents combine real-time data with operational context to spot problems and act on them. All actions remain auditable and subject to regulatory controls.
The data problem Broadridge solved
Fragmented data systems remain the biggest barrier to AI adoption in financial services. Broadridge built a financial services ontology-a machine-readable model that normalizes decades of operational and transactional data into a unified structure.
The ontology draws from over 60 years of operational experience and currently processes billions of transactions annually across multiple asset classes. It handles more than $15 trillion in daily trading activity.
Broadridge is exploring whether to make parts of the ontology available as an open industry resource to accelerate broader AI adoption across financial services.
How it's structured
The platform runs on four integrated layers: a data layer built on the financial services ontology, an API integration layer, an operational workstation layer, and an agentic intelligence layer that converts operational visibility into automated actions.
Tom Carey, president of Global Technology & Operations at Broadridge, said the firms that lead next will be those that embed AI directly into how work gets done. "Broadridge is uniquely positioned to support that shift by combining a fully integrated financial services ontology with the platform depth and operational scale required for institutional production," he said.
For operations professionals, this signals where the industry is heading. AI Learning Path for Operations Managers covers the operational optimization and workflow automation skills that will matter as these systems roll out. Understanding how AI agents work at scale-and where human judgment still applies-is becoming table stakes for operations leadership.
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