How we support this sector
- AI strategy for trading and investment processes
- Risk management and model governance frameworks
- Data strategy for alternative data and analytics
- Vendor evaluation for AI and analytics platforms
- Organizational design for AI-driven operations
- Regulatory readiness for AI in financial markets
Typical deliverables
- AI investment and trading strategy roadmaps
- Model risk management frameworks
- Alternative data evaluation and governance plans
- Vendor evaluation and platform selection reports
- AI operating model recommendations
- Regulatory compliance readiness assessments
- Data quality and lineage strategies
- Business case analyses for AI initiatives
Sector expertise
Capital markets firms were early adopters of quantitative and algorithmic approaches, but the current wave of AI — including large language models and generative AI — introduces new strategic questions. Where does AI genuinely enhance investment processes, risk management, or client service? Where does it introduce unacceptable model risk?
We help capital markets firms answer these questions with rigor, developing AI strategies and governance frameworks that satisfy both business objectives and regulatory requirements. Our advisory is independent of any technology vendor or data provider.
Common questions
Do you work with both buy-side and sell-side?
Yes. We advise asset managers, hedge funds, and investment firms on the buy-side, as well as investment banks and broker-dealers on the sell-side. Each has distinct AI opportunities and regulatory considerations.
Can you help with alternative data strategy?
We advise on alternative data sourcing, evaluation, and governance. This includes assessing data quality, legal and compliance considerations, and integration with existing analytics workflows.
How do you address model risk requirements?
We help develop AI governance frameworks aligned with SR 11-7 and similar model risk management requirements. Our frameworks cover model validation, documentation, monitoring, and oversight.
What about GenAI for research and analysis?
We help capital markets firms evaluate and implement generative AI for research synthesis, document analysis, and client reporting — with appropriate governance around accuracy and attribution.