Microsoft Scenario Library Financial Services Capital markets – Improve risk and compliance management

Available with: Copilot Studio and Azure AI Foundry

Financial Services scenario: Capital markets – Improve risk and compliance management

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Scenario

Use Copilot to improve risk and compliance management

Streamline risk and compliance management for greater accuracy, speed, and regulatory assurance.

1. Aggregate regulatory and market data

Ask Copilot to collect and consolidate regulatory updates, market news, and compliance alerts from internal and external sources.

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AI Agent

Benefit: Ensures all relevant compliance and market data is surfaced in real time, reducing manual research and risk of missing critical updates.

Use Copilot to run risk models on client portfolios and recent transactions, flagging anomalies or exposures.

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AI Agent

Benefit: Automates complex risk calculations, quickly identifies high-risk clients or trades, and supports proactive compliance actions.

Prompt Copilot to draft exception reports and document findings for compliance review.

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AI Agent

Benefit: Streamlines reporting, ensures consistency, and reduces time spent on manual documentation for audits or regulatory filings.

Use Copilot in Teams to coordinate with compliance, legal, and risk teams, sharing flagged issues and assigning follow-up tasks.

Benefit: Enhances cross-team collaboration, accelerates resolution of compliance issues, and maintains a clear audit trail.

Log resolved cases, track remediation effectiveness, and generate dashboards for ongoing compliance monitoring using Copilot Studio.

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AI Agent

Benefit: Provides actionable insights, supports continuous improvement, and ensures regulatory alignment through automated tracking and reporting.

KPIs

Opportunity to impact key functional area KPIs

Generate insights and content within the everyday flow of work, expedite investigations, and communicate more effectively to prevent and remediate compliance issues.
Speed data analysis and reporting
  • Quickly analyze trends
  • Generate informative charts
  • Create strategy presentations

Improve productivity by leveraging automation to quickly prioritize and accomplish daily tasks, optimize processes, and save time and effort on daily tasks.
Boost productivity
  • Rapidly research customer interactions
  • Create first drafts faster
  • Check for similar issues and resolutions
  • Quickly send follow-up communications

Differentiate customer interactions from competitors to help increase market share; Reduce the time for comprehensive portfolio evaluation with change recommendations reflecting market dynamics; Build trust and confidence among clients leading to increased number of active investors. 
Improve customer meetings
  • Research company information
  • Learn how to pitch the product
  • Organize information from past interactions
  • Completely focus during the meeting

Streamline operations for faster resolution of customer issues, providing tools for decision-making and strategy development. This can lead to higher customer satisfaction, increased customer lifetime value, and maximized customer investment portfolio.
Improve customer satisfaction
  • Diagnose a problem quickly using
    external and internal databases
  • Automated analysis using customer data and knowledge base
  • Quicker and more accurate draft responses
    based on historical resolution data
  • Proactive and personalized follow-up communications

1Access Microsoft 365 Copilot Chat at m365copilot.com, or the Microsoft 365 Copilot Chat mobile app and set toggle to “Web”.

2Access Microsoft 365 Copilot Chat at m365copilot.com, the Microsoft 365 Copilot Chat mobile app, or the Microsoft 365 Copilot Chat app in Teams, and set toggle to “Work”.

3AI Agents allow Copilot to access your organization-specific apps. In the past this would have required an API call to get data from a system of record.

The content in this example scenario is for demonstration purposes only. You should evaluate how Copilot aligns with your organization’s business processes, regulatory requirements, and responsible AI principles.