Accelerating regulatory mapping with GenAI
Capco helped a GSE automate regulatory mapping with GenAI, saving 71% of user time, ensuring reliable outcomes, and improving compliance confidence.
Client challenge
Capco partnered with a leading Wealth Management client to design and implement a GenAI-powered tool to transform their New Account Opening operations.
The client’s Operations team was responsible for processing over one million documents annually that were submitted by branch teams for new account openings or modifications. However, the process was often slowed by missing or incorrect client information, failed validations and irregular data traceability – leading to operational inefficiencies and higher error rates.
The client’s Operations team was responsible for processing over one million documents annually that were submitted by branch teams for new account openings or modifications. However, the process was often slowed by missing or incorrect client information, failed validations and irregular data traceability – leading to operational inefficiencies and higher error rates.
How Capco can help
To address these challenges, Capco partnered with the Operations team to develop an Intelligent Document Processing (IDP) solution powered by GenAI. The approach included:
- Rapid Readiness Assessment – Evaluation of the client’s technical readiness, compliance posture, and operational requirements for AI adoption. We then mapped a secure and compliant solution pathway, balancing immediate benefits with a sustainable and compliant long-term AI roadmap.
- Validation – Enforced field-level validation to ensure that only forms passing all required checks could be submitted to Operations for processing.
- Extraction – Applied OCR to extract data accurately across multiple document types and formats.
- Comparison – Cross-checking extracted data against the internal systems, ensuring consistency and accuracy before data mapping.
- Routing – Intelligently routing of validated forms to downstream teams, systems, or workflows.
- Targeted Project Plan – Developed a structured project plan, defined the ideal future state, key milestones, and prioritized use cases. Capco also facilitated alignment across Operations, Tax, and Technology stakeholders to ensure seamless execution.
Outcomes achieved
The engagement provided the client with clear, evidence-based business case on the potential of AI when applied at scale. This initiative not only addressed near-term challenges, but also positioned the client to shape a broader enterprise AI strategy and explore future applications.
Capco enabled the client to process high volumes of documentation more efficiently and accurately. The projected outcomes of using this solution, built using client data and processes, include:
- Increased Efficiency – Projected savings of 200k human hours over three years through this GenAI-powered solution
- Enhanced Data Accuracy – Ensured client documentation remains consistently accurate and up to date, improving trust and reliability.
- Stronger Documentation Governance – Established governance protocols that standardize and strengthen documentation management practices.
AI Infused success stories
