Agentic Client Servicing

Modernize Capital Markets Client Servicing:

Relationship managers can spend most of their day navigating multiple back-office systems—CRM, portfolio accounting, fee schedules, trade history, order management, and custodial feeds—just to answer routine client queries. Manual drafting under time pressure risks incorrect balances and unauthorized concessions, while exception inquiries such as fee disputes and settlement breaks stretch turnaround from minutes to days. This professional services offering delivers a multi-agent solution that validates and pre-processes inbound queries, resolves repeatable cases with cited responses, and routes true exceptions with full context. The result is higher first-contact resolution, reduced investigation effort, and consistent, auditable responses.

Multi-Agent Servicing Framework:

Fourteen cooperative agents span the servicing lifecycle. Foundational agents handle intake and intent detection, entity extraction, identity verification against CRM, query enrichment that auto-fills missing account IDs or fee periods, data retrieval across source systems, similar-case search using embedding similarity, classification, response drafting, clarification requests, and audit persistence. Capital-markets specialists cover fee reconciliation, position reconciliation, exception-pack building, and compliance guardrails.

A classification engine routes each inquiry across four paths: enrichment for incomplete data, routine for instant citation-backed drafts, exception for discrepancy detection with a structured investigation pack, and clarification for early-exit requests when data is missing. Deterministic logic performs fee validation and position matching so no financial figure is fabricated, while guarded reasoning drafts the narrative. Compliance guardrails apply forced-review paths for sensitive and high-net-worth cases, and every run persists to an append-only audit log. A relationship-manager cockpit presents pre-drafted responses with source-verification links and one-click approve, edit, or reject controls.

Business Capabilities:

Validate and pre-process inbound client queries from email and RM channels Detect query intent and extract entities, flagging missing required fields Verify sender identity against CRM and resolve client records Auto-enrich incomplete queries using historical records and inference Retrieve holdings, transactions, and fees across multiple source systems Reconcile fees and positions deterministically, with zero financial fabrication Assemble structured, multi-section exception packs for RM investigation Draft cited, source-linked responses for routine cases Apply compliance guardrails including forced-review paths for sensitive and high-net-worth clients Maintain append-only audit trails across every client interaction

AWS-Native Architecture:

Built on AWS, the solution runs on a governed agentic platform. Amazon Bedrock provides foundation models and guardrails for query interpretation and response drafting, with Amazon Bedrock AgentCore and AWS Step Functions orchestrating the multi-agent lifecycle and AWS Lambda running deterministic fee- and position-reconciliation logic as tools, so no financial figure originates from inference. Amazon OpenSearch Service powers embedding-based similar-case retrieval, with Amazon Simple Storage Service (Amazon S3) for case and document storage, Amazon Aurora PostgreSQL for checkpointed run state and the append-only audit log, and Amazon DynamoDB for agent state. Client data is retrieved from CRM, portfolio, order management, and custodial systems through Amazon API Gateway, Amazon EventBridge, and AWS Glue. AWS Identity and Access Management (IAM) and AWS Key Management Service (AWS KMS) enforce least-privilege access and encryption, while Amazon CloudWatch, AWS CloudTrail, AWS Config, AWS Security Hub, and AWS Control Tower deliver observability, audit logging, and multi-account governance. The architecture is modular, event-driven, and designed for enterprise-grade resilience.