Broadridge Financial Solutions has launched agentic AI capabilities in production across capital markets and wealth management workflows.
The US-based financial technology firm positions the move as the result of production deployments within its managed services business process outsourcing (BPO) operations across more than 40 clients since 2024. The system processes millions of operational transactions monthly, spanning post-trade processing, account management, and client services workflows.
Two paths to deployment
Broadridge is offering the technology through two models. The first is a full managed services arrangement, under which Broadridge assumes responsibility for end-to-end operations, combining domain expertise, staffing, and agentic technology within a single partnership. The second is a standalone deployment model, where the platform integrates into a client's existing infrastructure via open-standard APIs, giving firms direct access to the same production-grade capabilities without transferring operational control.
Both paths are built on what Broadridge describes as a completed financial services data ontology, representing a normalised, machine-readable data layer drawing on more than 60 years of operational experience, USD 15 trillion in daily trading activity, and billions of transactions processed annually across multiple asset classes.
Capabilities and infrastructure
The agentic system is designed to autonomously analyse, prioritise, and resolve operational exceptions. Workflows currently in production include automated trade fails management and break resolution, account opening and maintenance, real-time valuation exception handling, customer inquiry automation, and email workflow processing, the last of which is delivered in partnership with DeepSee, described as an AI-native workflow automation firm.
All workflows operate within a human-supervised architecture intended to maintain auditability and compliance with regulatory expectations. The platform is structured across four layers: a data layer underpinned by the ontology, an API layer for open-standard integration, a workstation layer for operations staff, and an agentic intelligence layer that converts data visibility into automated action.
According to the official press release, Broadridge has also indicated it is exploring making core elements of the ontology available as an open industry resource, which would allow third-party market participants to build on a shared, normalised data model rather than developing fragmentation solutions independently.
Industry context
The deployment comes as financial institutions face increasing pressure to reduce operational costs while meeting evolving regulatory requirements across post-trade and client servicing functions. Agentic AI has emerged as a focus area across the financial services sector, though production-grade institutional deployment at scale has remained limited. In addition, Broadridge's position as a large-scale BPO provider, processing transactions across dozens of client institutions simultaneously, gives it a volume of operational training data that is structurally difficult for individual firms or general-purpose AI vendors to replicate. Additional agent capabilities are expected to be announced in subsequent quarters.
