Broadridge goes live with agentic AI across capital markets
NEW YORK, UNITED STATES — Broadridge Financial Solutions deployed agentic AI in production across capital markets and wealth management workflows on May 11, bringing a live system that has processed millions of operational transactions monthly for more than 40 clients since 2024.
According to a report from FinTech Global, the platform automates trade fails management, break resolution, account opening and maintenance, valuation exception handling, and customer inquiry processing within a human-supervised architecture designed to meet institutional compliance standards.
New clients can realize up to 30% operational cost savings from deployment day one, according to Broadridge.
Four-layer architecture drives capital markets automation
The platform’s four-layer architecture spans a proprietary financial services ontology, open-standard APIs, a real-time workstation layer, and an agentic intelligence layer that executes autonomous operational actions across workflows.
Email processing runs through a partnership with DeepSee, Broadridge’s AI-native workflow automation partner, extending coverage across one of the highest-volume communication channels in capital markets operations.
“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 Global Technology & Operations.
The live deployment — refined across a managed services BPO operation serving more than 40 institutional clients — establishes Broadridge as one of the few capital markets technology providers operating agentic AI at true production scale.
Dual deployment model targets institutional clients
Broadridge offers clients two adoption paths: full managed services, in which Broadridge operates the system end-to-end, or standalone deployment that integrates directly into a client’s existing infrastructure.
The model preserves human oversight at each stage, allowing institutions to meet regulatory obligations while automating the highest-volume, lowest-discretion portions of their operational workflows.
“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,” said Carey.
That ontology layer — which Broadridge is exploring making available as an open industry resource — directly targets the data fragmentation that has prevented capital markets firms from operationalizing AI at enterprise scale.
Broadridge’s production launch marks a critical inflection in capital markets AI adoption, where the gap between vendor AI claims and institutional-grade deployment has been a persistent barrier.
Major custodians and prime brokers face pressure to reduce operational headcount as settlement volumes grow and T+1 timelines compress margins on manual processing.
BlackRock’s Aladdin, State Street’s Charles River, and SS&C Technologies have each pursued AI automation strategies in back-office workflows, but purpose-built agentic systems with documented production throughput remain rare among large-scale capital markets technology providers.
