Broadridge Puts Agentic AI Into Production Across Capital Markets Operations
Broadridge Financial Solutions deployed agentic AI - software that independently analyzes, prioritizes, and resolves operational exceptions - into production across capital markets and wealth management workflows. The company says new clients can cut operational costs by up to 30% on day one through either managed services or standalone deployment on their own infrastructure.
The agentic capabilities have been tested inside Broadridge's business process outsourcing operations across more than 40 clients since 2024, processing millions of transactions monthly in post-trade, account management, and client services. That production experience at institutional scale distinguishes Broadridge from vendors offering point solutions.
Two Deployment Models
Broadridge offers operations teams two paths. The first is a managed services model where Broadridge runs operations end-to-end, combining domain expertise, staffing, and AI technology. The second lets firms deploy Broadridge's agentic platform directly into their own systems via open-standard APIs, accessing the same production-grade capabilities.
Both paths rely on the same foundation: Broadridge's financial services data ontology - a normalized data layer that integrates decades of transactional and operational intelligence into a machine-readable model.
What the AI Agents Do
The agents chain together real-time data and operational context to analyze issues, prioritize exceptions, and initiate resolution. They reduce manual work and free human staff to focus on complex cases, client service, and risk reduction.
Currently live capabilities include automated trade fails management, account opening and maintenance workflows, real-time valuation exception handling, customer inquiry automation, and email workflow processing. All operate within human-supervised architecture that maintains oversight, auditability, and regulatory control.
The Data Problem Broadridge Solved
Fragmented data has blocked AI adoption in financial services. General-purpose AI tools deployed onto disconnected systems produce inconsistent outputs and limited operational value.
Broadridge built a single normalized data layer integrating more than 60 years of operational experience, $15 trillion in daily trading activity, and billions of annual transactions across multiple asset classes and dozens of clients. No competitor or client-built solution operates at this scale or depth of normalization.
Four-Layer Architecture
The platform stacks four integrated layers:
- Data Layer: The Broadridge ontology provides normalized, trusted foundation
- API Layer: Open-standard integration across Broadridge products and third-party systems
- Workstation Layer: Unified visibility for operations professionals across queues, exceptions, and required actions in real time
- Agentic Intelligence Layer: Converts visibility into outcomes - moving from reports to decisions to action
Industry-Wide Access Coming
Broadridge built its framework on open standards and APIs, allowing firms to deploy Broadridge workflows or connect their own. The company is exploring making core elements of its ontology available as an open industry resource, enabling all market participants to build on a normalized data model rather than solving fragmentation independently.
Learn more about AI Agents & Automation or explore the AI Learning Path for Operations Managers to understand how these technologies apply to your workflows.
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