Capital Markets

Capital market firms are facing huge challenges from ever-changing government regulations, to facing pressure on margins, to demands for increased transparency and personalization from their customers. Emergence of fintech companies with innovative business models has resulted in customers demanding on-the-go services as well as an omnichannel experience from investment banks. Capital market firms have embarked on a journey to serve their customer in a better way with the optimum utilization of technology. Given the amount of manual / semi-manual processes in trade life cycle, investment banks are under pressure to optimize the operational costs. As a result, many capital market firms are resorting to RPA to transform their back office to achieve cost reductions and improve business efficiencies.

Sample Process

Customer Onboarding

RPA facilitates the process of customer onboarding including performing KYC and other related checks. It can combine multichannel capabilities and automate workflows, thereby accelerating the onboarding process.

Trade Settlement

RPA is helpful in streamlining trade settlement by performing research on orders, resolving discrepancies, and resolving trades that are impacted by system processing issues.

Investment Management

RPA is used to help assess an investor’s portfolio and thus minimize the inherent risk of investing. The bots also help in improving the users’ investment decision making by offering information updated in real-time about fluctuations on the stock market.


RPA can be used as an important tool to reconcile the data between multiple systems and identify mismatches across datasets during the reconciliations that are performed at various stages of the trade life cycle.

Regulatory Compliance

RPA plays a critical role in improving governance and regulatory compliance. It simplifies compliance by keeping detailed logs of automated processes, automatically generating the reports an auditor needs to see, and eliminating human error.

Communication and Reporting

RPA has helped in communicating with the customers in a better manner through the automation of sending transactional notifications and periodic reports at a minimal cost. Additionally, they can be used to sending reports to regulators.

Applications of RPA

Sales Order Processing

Letters of Credit Processing


Eligibility Determination