United StatesFinance and insurance2024 – ongoingSiebert Financial
Custom compliance language model that pre-screens client communications
Siebert Financial reported 15 times more client content after an AI model began pre-screening it for compliance
Problem
A full-service wealth firm had to review every client communication and piece of marketing content against FINRA and SEC rules. Compliance review limited how much content it could produce and what that content cost.
Approach
Siebert fed FINRA and SEC guidance into its own custom large language model and used it to pre-screen content before it went out. Compliance officers still checked every AI-assisted item, and the compliance team made the final call on judgment questions. The model launched about a year before the November 2025 interview. The article did not name the underlying model.
Results
Takeaway
The firm put the AI screen in front of its compliance officers rather than in place of them, and it reported higher output under that setup. All figures are the firm's own claims.
Categories
- Industry
- Finance and insurance
- Business function
- Finance, risk and legalMarketing and sales
- Innovation type
- Process innovation
- AI technology
- Generative AI
- Adoption
- Built in-house
- Evidence
- Company's own claim
Sources
Source summaries
InvestmentNews interviewed Siebert Financial about its use of AI. The firm described a custom language model trained on FINRA and SEC guidance that pre-screens content, with compliance officers checking the output. It gave figures for content volume, production cost and newsletter engagement, all supplied by the firm.
Full details are in the original sources.