Impact
Cut Compliance Review Time by 20–25%
The client’s Capital Markets Equity Research team sought to modernize its equity research approval process by reducing the manual effort required to review complex compliance requirements. By embedding generative AI into existing research workflows, Tactable enabled the client’s Supervisory Analysts to identify potential compliance issues faster, automate repetitive review tasks, and spend more time on higher-value analysis. The solution reduced manual compliance review times by 20–25% while improving accuracy, consistency and regulatory oversight. The result was a more efficient approval process that strengthened regulatory compliance, improved time to market without disrupting existing operations.
Industry
Financial Services, Capital Markets
Key Services
Key Technology
- Azure OpenAI
- Azure Cognitive Services
The Vision
Modernizing a Manual Compliance Process
The client’s Capital Markets Equity Research team hired Tactable to design and implement a generative AI solution to enhance compliance efforts, boost productivity, and reduce manual errors. With Supervisory Analysts spending significant time reviewing research against complex compliance requirements, the team wanted to reduce manual effort and improve operational efficiency without compromising regulatory standards or the quality of review.
The Solution
Embedding AI into Existing Research Workflows
Tactable designed and implemented a generative AI solution that integrated directly into the client’s existing equity research approval process. Using Azure OpenAI and Azure Cognitive Services, the solution automated document pre-processing, performed intelligent compliance checks, and surfaced potential issues more accurately and quickly.
Designed an AI-Powered Compliance Workflow
Mapped the existing equity research approval process and identified opportunities where generative AI could automate repetitive compliance tasks while preserving existing governance controls.
Integrated Azure OpenAI into Existing Systems
Embedded Azure OpenAI and Azure Cognitive Services into the client’s research approval workflow, allowing AI to analyze research documents.
Automated Compliance Review
Developed AI-powered pre-processing and compliance checks that identify potential regulatory concerns before manual review, reducing time required to complete approvals.
Enhance Analyst Productivity
Created a solution that enables Supervisory Analysts to focus on complex, high-value decision-making while AI handles repetitive tasks, improving both efficiency and consistency.
The Tactable approach
