Train
Training built on the work your team actually does.
Intelligent workflow design starts with people who can run it. A one-day workshop for independent wealth teams: practical AI tool use, AI systems orchestration on your actual workflows, and governance your CCO can defend in an exam. Built by a former Head of Trading and Research at an RIA.
Length
One day on-site, or two virtual half-days
Who attends
Up to 15 people across advisory, ops, and compliance
Facilitator
A former RIA Head of Trading and Research
Ground rule
AI drafts stay drafts until a person approves
What the room leaves with
Skills, policy, and a roadmap. Not a binder of slides.
Working skills on your workflows
Not a tools tour. Hands-on work against the jobs your ops, CSA, and advisor teams already own.
A governance pack your CCO can defend
Acceptable use outline, data bright lines, use-case inventory, and recordkeeping habits examiners ask about.
A written 30-day roadmap
One workflow, one named owner, baseline hours, and a Three Things assessment. Build with us or without us.
Curriculum
The workshop
Seven sessions. Two anchors. Every exercise marked draft for human review.
Getting the rules right first
A person approves anything that matters, and the record shows who. SEC AI exam priorities, the Marketing Rule and AI-washing, Reg S-P diligence, Rule 204-2 retention. Everything else hangs on this.
AI foundations for advisors, done right
Prompting with compliance steps baked in. Data bright lines. What your notetaker, tax scanner, and platform AI already own so you do not rebuild it.
Portfolio operations: the work around the rebalancerAnchor
Recon exceptions, cash and RMDs, constraints, tax lots, and a Trade Order list with rationale on every line. Drift is one input. Human release on every list.
Automating the back officeAnchor
The work that falls between the systems you already pay for: a nightly exception digest and a new-account NIGO pre-check. Built so your CCO can defend it.
Client service, meeting cycle, and billing
Supervise the notetaker, CRM, and follow-up loop. The fee math is calculated, not generated, so it is always right. AI only writes the exception narrative examiners ask for.
Compliance and marketing AI
Marketing Rule pre-screen, recordkeeping pipeline, and a live-started Acceptable Use Policy plus use-case inventory for counsel.
Your 30-day roadmap
One workflow, one named loop owner, baseline hours, and a written Three Things assessment. Build with us or without us.
Advanced tier
For firms already running AI
A second day for teams past the foundations. This is the material behind the SEC's supervision and training-records expectations, and the difference between using AI and being able to defend it in an exam.
Evaluation and regression testing of AI outputs
Golden test cases for your real workflows, output sampling schedules, and re-testing after model or prompt changes. How to prove accuracy instead of asserting it.
Agent permissions and approval gates
What each tool and agent may do on its own, what requires a named human, what is prohibited, and how to enforce it with kill switches. A written matrix your CCO signs.
Prompt injection and data leakage testing
How a poisoned document or email can steer an AI tool, how client data leaks into tools that should never hold it, and how to test both before an incident does.
Vendor and model-risk evaluation
A working diligence method for AI vendors: data handling, retention, subprocessors, model-training posture, and the Reg S-P oversight file behind each one.
Incident response and deepfake tabletops
Live exercises: an AI-forged client voice requesting a wire, a leaked prompt with client data, a vendor breach. Your team runs the written playbook against the clock.
Syllabus
Full outline, sample exercises, governance pack
Free PDF for your work email. We send the file. Nothing else unless you ask.
Role prompts from the curriculum
Use them today. Client-facing and trade-related outputs stay drafts for human review.
Trade Order rationale (after cash / constraints)
OpsHere are accounts needing cash or rebalance attention [paste sanitized]. Constraints: [paste, e.g. never sell founder stock]. Prefer loss lots; flag wash-sale risk. Draft a Trade Order list with account, security, buy/sell, approximate amount, and a one-line rationale. Mark every row DRAFT, PENDING HUMAN APPROVAL. List assumptions and missing information. Do not send anything to an OMS.
NIGO pre-check
CSAHere is a completed new-account packet [paste field list or form text]. Check against this NIGO rules checklist [paste]. List every missing or inconsistent item (signatures, beneficiaries, ID, account titling, funding instructions). Rank blockers vs warnings. Do not submit. Mark DRAFT FOR CSA REVIEW.
Meeting prep pack
AdvisorHere are CRM notes from the last three meetings with Household A [paste sanitized notes]. Produce a one-page prep pack: relationship summary, open items, life events mentioned, likely topics, and three questions to ask. Flag anything time-sensitive. Do not invent facts not in the notes.
Marketing Rule first-pass
CCOReview this draft LinkedIn post / client letter [paste] against the SEC Marketing Rule's general prohibitions: untrue statements, unsubstantiated claims, misleading implications, cherry-picked performance, testimonials without required disclosures. List every phrase a compliance reviewer would question and explain why. Do not rewrite it yet.
Put the workshop on your calendar.
Start with a 30-minute call. Training follows the RIA AI Opportunity Map when that is the right sequence.
Thirty minutes with the person who would run the work, not a sales development rep. Tell us about your firm and we will come back with a time, plus an honest read on whether we are the right people for what you need.
Or call (678) 524-6180 · info@expertailabs.com