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Inbound lead handling for financial services

An AI SDR for financial services enquiries and callback requests. Agents give each enquiry a prompt first reply, and anything on your compliance team's list goes to a person.

Where enquiries come from in financial services

  • Enquiry forms for business accounts and productsThe agent acknowledges the enquiry, asks scoping questions in approved wording and logs the source.
  • Callback requests from the websiteA callback request becomes a lead with the details the person gave, then goes to the right colleague for the call.
  • Referrals from advisers and intermediariesReferrals are tagged with who sent them, so the CRM shows the relationship behind each lead.
  • Email to a shared enquiries inboxMessages are read, matched to a company record and answered from approved replies or passed to a person.
  • Event and webinar sign-upsAttendees are captured as leads and followed up with messages your team has approved.

First contact, handled with care

  • Acknowledge and captureEach enquiry gets a first reply in approved wording and becomes one CRM record with its source and the details the person gave.
  • Ask only what you approveScoping questions come from your message library. The agent does not improvise advice or describe products beyond the answers you have approved.
  • Stop at sensitive topicsYour compliance team lists the topics agents may not answer. When a message touches one, the agent stops and passes it to a named person with the conversation so far.
  • Keep the record completeEvery message and score is written to the CRM and the audit log with the rule that allowed it, so reviewers can see why.

Topics your compliance team keeps for people

Examples of rules a team in this field might write. You set the real ones, and can change them at any time.

  • Compliance-sensitive questionsPersonYour compliance team decides which topics agents may answer. Anything on its list goes to a person, because these answers carry risk.
  • Questions about an existing accountPersonPassed to the account owner without the agent replying, since the owner knows the history.
  • Complaints and expressions of dissatisfactionPersonPassed straight to a named person, because these conversations need care and judgment.
  • Message wordingApprovalNothing new is sent until the people you name have approved it, so every claim has an owner.
  • Scheduling and document requestsAgentHandled end to end from approved replies and logged in the CRM, because they carry little risk.

An enquiry that reaches the right adviser

Morgan Ellis · Example Capital Partners
Business account enquiry
Fit score 74/100
Meeting booked
AgentPersonOutcome
  1. Agent captured the leadMatched the enquiry to a company record and logged the source.
  2. Agent qualified itAsked two scoping questions using approved wording.
  3. Handed to a repMorgan asked a question on your compliance team's list, so the agent stopped.
  4. Rep booked the meetingThursday 14:00, with the full conversation attached.
Example record. Names and times are illustrative.

Questions risk and compliance teams raise

  • Can AI agents answer financial services enquiries safely?

    Agents work inside limits your team sets before launch: an approved message library, topics that always go to a person and optional approval before sending. Your compliance team decides what agents may answer, and everything else goes to a person.

  • Who decides which topics the agent must hand to a person?

    Your team does, with your compliance team's input, in written hand-off rules before launch. You can change the rules at any time, and admins control who may edit them. Anything outside the approved answers goes to a person, so the agent never has to guess where the line is.

  • Is there an audit trail for what the agent sent?

    Yes. Every action an agent takes is written to an audit log and to the CRM record it affects, together with the rule that allowed it. Reps and managers can open any lead and see the full history, including which messages were sent and which were held back for approval.

  • Can our security team see documents before a pilot?

    Yes. Security reviewers can read the security overview and request the security pack, which we share under NDA as part of an enterprise evaluation. It covers hosting and regions, model data use, subprocessors and certifications. Your reviewers can read the overview first and ask for the pack when they are ready.

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