AI agents for financial services
Give your analysts agents that read and draft, and never decide alone
Three agents for KYC reviews, client servicing and SAR narratives. The ones analysts call act as that analyst, and none of them can approve an account, move money or file with a regulator. Every call lands in one audit record.
Finance agents for every team
Finance
Fintech
App support, onboarding reviews and payment disputes. Fee reversals stay capped, and approvals stay with your people.
See the agentsFinance
Banking & lending
Credit memos, mortgage file checks and adverse action notices. Risk ratings and credit decisions stay with your people.
See the agentsFinance
Payments & spend management
Disputes, card spend and vendor payments. Refunds stay capped, and payments are released by your people.
See the agentsFinance
Wealth & asset management
Client reviews, rebalancing and client communications. Agents see only the advisor's own households.
See the agentsFinance
Capital markets & digital assets
Morning notes, pre-trade checks and digital asset transfers. Agents never route orders or approve transfers.
See the agentsGoverning Finance Agents
Any tool, any model, any use case
Our example demonstrates three agents for your onboarding, servicing and compliance work, pulled from our template library. Our team can work with yours to build, govern, and operate your agents as you deliver on your IT strategy.
Examples for Finance
More from the library · Finance
Also in the library
Review onboarding documents
Checks identity and entity documents against your CDD requirements, runs sanctions screening and writes the KYC summary. An analyst approves.
Tools
Model
Runs
Limits
Tuned for your team
- Your CDD and enhanced due diligence checklists
- Beneficial ownership thresholds by entity type
Applying Controls to Agents
Enforce customer data, approvals and filings in one place
Dome sits between the agents and your systems. Every call is checked against rules your team writes before it reaches Salesforce, Actimize or a model.
Call
- Agentkyc-reviewer is registered and active
- Callerj.hartley verified through Okta
- Toolupdate_kyc_summary is granted on finance-tools
- RuleKYC summaries may be written to open cases
Comprehensive Audit
Show examiners exactly what an agent read and drafted
One record for every call: the agent, the analyst it acted for, the system, and the decision. Enable investigations, increase confidence and reduce risk in agentic operations.
- kyc-reviewer08:41:12
| Timestamp | Type | Agent | Acting as | Resource | Outcome | Latency |
|---|---|---|---|---|---|---|
| 08:41:12.305 | ||||||
Regulation
Give examiners the record, not just the policy
Financial agents read customer records, screen for sanctions and draft suspicious activity reports. These are the rules that reach them, and what the controls above give you for each.
GLBA Safeguards Rule
What it asks
A written information security program that limits access to customer information and monitors what authorized users do with it.
What Dome gives you
A guard strips account and Social Security numbers before a model sees them. Every read is recorded with the agent and the analyst it acted for.
BSA/AML and the FinCEN CDD Rule
What it asks
Identify and verify customers and their beneficial owners, monitor for suspicious activity, and keep SARs confidential.
What Dome gives you
The KYC agent summarizes evidence and can't approve an account. The SAR agent drafts narratives and can't file them, and its drafts stay inside the case system.
NYDFS Part 500
What it asks
For New York-regulated firms, least-privilege access, audit trails that reconstruct activity, and monitoring of privileged users.
What Dome gives you
Each agent reaches only the tools its gateway grants. The audit record reconstructs every call: the agent, the person, the system and the decision.
FAQ
Common questions
How are AI agents used in financial services?
KYC reviews, client servicing and SAR narratives are common first agents. Each reads and drafts inside the access its analyst already has, and people keep approvals and filings.
Can an AI agent approve a KYC review?
Not on this setup. The agent gathers the documents and screening results and writes the summary. A rule refuses its approve call, and the refusal is recorded.
How do you keep account numbers out of LLM prompts?
A guard on the gateway inspects each tool response and strips account and Social Security numbers before the agent or model sees them. The agent still gets the case it needs.
Does model risk guidance apply to AI agents?
Most examiners treat the models behind agents as models. Dome limits each agent to approved models and records every model call, which gives you the inventory and usage evidence.
How do you audit what an AI agent did in Salesforce or Actimize?
Route its tool calls through a Dome gateway. Every call lands in one audit record with the agent, who it acted for, the tool and the decision. Refused calls are recorded too.
Forward deployed engineering
Spend 30 minutes with our FDE team to understand the platform, and how it fits to your needs.
Our FDE team can get your first agent under management and work with your platform team to deliver results for your AI program.
Key topics to discuss:
- Review your AI plans, progress to date, and timeline for agentic projects in production.
- Planning a specific agent, or agentic app, to bring under governance.
- Learning more about our platform capabilities, from gateways to routing.
- Defining agentic operations as repeatable golden pathways for Platform and AppDev teams.
Explore
Other industries
AI agents for gaming and sports betting
Player support, responsible gaming review and bonus setup. Self-exclusions and limits stay out of an agent's reach.
Agentic use cases
- Answer player questionsLooks up a player's account, bets and withdrawal status so a specialist can answer fast. It reads. Balances and limits stay with people.
- Review responsible gaming signalsReviews players flagged for risky play and drafts case notes for the responsible gaming team. It never changes a limit.
- Configure bonusesSets up deposit matches and free bets from a campaign brief, up to the cap you set. Self-excluded players are never targeted.
Answers to
- State gaming regulations
- Bank Secrecy Act (FinCEN casino rules)
- Age, identity and location checks
AI agents in healthcare
Prior authorizations, visit notes and eligibility checks. Agents read only the charts their clinician can read.
Agentic use cases
- Assemble prior authorizationsPulls the notes, orders and imaging a payer asks for into one authorization packet. A clinician reviews it and submits.
- Draft visit notesDrafts a visit note from the encounter and the chart, in the department's template. The clinician edits it and signs it.
- Verify eligibility before the visitChecks coverage for the next day's appointments overnight. Anything that needs a call before the visit goes to the patient access channel.
Answers to
- HIPAA minimum necessary
- Business associate agreements
- HIPAA Security Rule audit controls
- CMS prior authorization rule (CMS-0057-F)
AI agents for insurance claims
Claim intake, file summaries and fraud screening. Agents read only the claims assigned to their adjuster.
Agentic use cases
- Triage new claimsReads each first notice of loss, sets severity and line of business, and routes it to the right adjuster queue. It flags. It never settles.
- Summarize claim filesSummarizes medical records, police reports and correspondence in a claim file for the assigned adjuster. Only claims that adjuster handles.
- Screen claims for fraud signalsChecks each open claim against prior claims history and flags patterns for the special investigations unit. It never denies a claim.
Answers to
- NAIC Model Bulletin on AI Systems
- Unfair claims settlement practices laws
- Insurance data security laws
AI agents for law firms
Conflicts checks, clause extraction and redlines. Every agent acts as the lawyer who asked.
Agentic use cases
- Check new matters for conflictsSearches Intapp and past matters in iManage for parties that conflict with a proposed engagement. It reports. It never clears a conflict.
- Extract clauses from contractsPulls parties, dates, renewal and change-of-control terms from the contracts in a matter workspace. Only in matters the requester is staffed on.
- Draft redlines against the playbookMarks up a counterparty draft against your playbook and saves it as a new version. Counsel reviews it and sends it.
Answers to
- ABA Formal Opinion 512
- Privilege after United States v. Heppner
- Ethical walls (Model Rules 1.7, 1.9, 1.10)
AI agents for professional services firms
Proposals, staffing and engagement status. Each agent sees only the engagements its consultant works on.
Agentic use cases
- Draft proposalsReads an RFP and drafts a response from the firm's reuse library. Client names in past work are stripped before the model sees them.
- Match staff to engagementsMatches skills and availability to a new engagement's roles and proposes a team. Resource managers make the assignments.
- Report engagement statusReads the project plan and engagement files and drafts the weekly status report. It sees only engagements its consultant is on.
Answers to
- Client confidentiality terms
- AICPA Confidential Client Information Rule
- SOC 2
- GDPR and state privacy laws
AI agents for retail
Order lookups, replenishment and product copy. Refunds, orders and publishing stay with your people.
Agentic use cases
- Answer order questionsLooks up orders, shipments and returns so an associate can answer a customer fast. It reads. Refunds stay with the associate.
- Plan replenishmentForecasts demand by store and drafts purchase orders against par levels. Buyers review them and send them.
- Write product copyWrites product titles and descriptions from supplier data, in your voice, and saves them as drafts. Merchandisers publish.
Answers to
- PCI DSS v4.0.1
- State privacy laws (CCPA/CPRA)
- SOX internal controls
- FTC Act, Section 5
- Antitrust and algorithmic pricing
- Predictive scheduling laws
- Routing guides and carrier contracts
AI agents for software companies
Escalation triage, incident summaries and release notes. Agents read code and incidents. Shipping stays with engineers.
Agentic use cases
- Triage engineering escalationsReads an escalated ticket and the code it points to, drafts a diagnosis and sets priority. Fixes stay with the engineer.
- Summarize incidentsFollows an incident's timeline and recent deploys, drafts status updates and a first postmortem. It never acknowledges, pages or resolves.
- Draft release notesReads the pull requests merged since the last release and drafts customer-facing notes. The release stays a draft until an engineer publishes it.
Answers to
- SOC 2
- ISO/IEC 42001
- EU AI Act
- State privacy laws (CCPA/CPRA)
Enabling agent operations
Governance at the agent‑action boundary.
However an agent was built and wherever it runs, the same three boundaries are available to control it: the code it ships as, the tools it calls, and the model it reasons through.
Code
Agent Registry
Make every agent known and manageable. Credentials issued, capabilities declared, lifecycle owned.
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Tool
MCP Gateway
Evaluate every call against policy with full context. Allow, deny, or escalate. Filter what comes back.
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Model
Model Broker
Constrain how the agent reasons. Selection by policy, routing across providers, evals against real traffic.
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