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Built for wealth managers

The active layer above your stack.

Your custodian, OMS, billing engine, AML screen and call recorder all hold pieces of the truth. None of them read across the others. Septima does.

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One firm, four surfaces

Septima Comply

For Compliance and the MLRO.

Live breach register with AEGIS drafting entries the moment a threshold trips. Consumer Duty re-scored across all four pillars. SMCR roster, T&C tracker, fair value via ARBITER, & KYC wired into provider of your choice.

Septima Ops

For Operations and Middle Office.

Command Centre as the daily nerve centre. MASON classifies and auto-resolves reconciliation breaks. CEDAR routes corporate action elections per mandate. SWIFT MT564 ingestion. AI Fee Leakage Detection across the book.

Septima View

For the CEO and SLT.

The firm on one screen. AUM, capital ratio, fee compression, breach drafts pending, KYC overdue, client concentration. FORUM pre-drafts ManComm and board packs from live state, ready to review and dispatch.

Septima Desk

For Investment Managers.

The whole book on one screen. ATLAS turns every client call into a summary, action items and a compliance note. VIGIL runs a seven-category suitability assessment per call. Client Knowledge graph, portfolio, corporate actions, marketing.

Every Call. A Suitability Assessment. Automatically.

VIGIL turns every client call into a structured FCA-format suitability assessment across seven categories: mandate, risk profile, concentration, knowledge, capacity for loss, cost disclosure, vulnerability. Evidenced by the call itself, not by an annual form-fill.

Per-call assessment generated within minutes of call end

Seven-category structured FCA format

Drift detected before the next scheduled review

Your AI Assistant. Your Firm. One Connection.

Plug Claude or ChatGPT into Septima and your firm becomes addressable from any chat. Read the book, log a call, draft a breach, query a position. Every action audited. Every permission honoured. SMCR boundaries enforced at the tool layer.

Works with Claude and ChatGPT out of the box

Read and write across the operational graph

Every LLM-mediated action lands in the same audit log

Every Call. A Suitability Assessment. Automatically.

Detect breaks and exceptions automatically across every connected system

Seven-category structured FCA format

Drift detected before the next scheduled review

Your AI Assistant. Your Firm. One Connection.

Works with Claude and ChatGPT out of the box

Read and write across the operational graph

Every LLM-mediated action lands in the same audit log

Operations run themselves when everything is connected.

Supervision That Sees the Pattern.

QUORUM watches IM activity against firm policy and model parameters. When undocumented deviation builds across quarters, it surfaces the case with the rule, the precedent and the model version it ran against.

Breach Drafts With Precedent, Not Guesswork.

AEGIS classifies every threshold trip against firm policy and prior cases. Each draft ships with the rule triggered, the precedent matched and the classification rationale built in. Compliance reviews a complete file, not a notification.

Corporate Actions, Mandate by Mandate.

CEDAR reads every affected mandate before it proposes an election. Each recommendation carries the precedent matched, the alternatives considered, and the conditions under which it would flip its answer.

Vulnerability Caught at the Call. Cited to the Rule.

SENTINEL listens for the markers FCA guidance asks you to catch: bereavement, life events, financial pressure, cognitive signals. Every flag ships with the regulatory citation and the transcript moment that triggered it.

The Deadlines You Don't Have to Chase.

WARDEN watches every regulated SLA across the onboarding pipeline. Stalled cases surface with the policy clause they breached, the missing artefacts and the audit log proof of when it slipped.

Every Break Explained. Every Alternative Ruled Out.

MASON matches custodian feeds against the book line by line. Each break ships with the trade evidence, the alternative readings considered, and the exact conditions that would change its classification.

The operating layer for your company

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The operating layer for your company

Book your demo.

The operating layer for your company

Book your demo.