Agentic AI workflows for onboarding, trading support, and investor care
Converiqo unifies lead capture, KYC, ticketing, contact center intelligence, and investor self service so brokers stay responsive during every market pulse.
Pressure points
Operational challenges for stock brokers & fintech platforms
Automation keeps RMs, dealers, compliance, and investors aligned in real time.
High Volume Trading Queries
Investors ask about orders, margins, pledges, RMS blocks, and payouts across multiple channels, overwhelming support teams during market hours.
Compliance Heavy Onboarding
KYC, IPV, FATCA, POA, and segment activation steps require rigorous tracking, escalating delays when documents stay pending or teams miss escalations.
Missed Margin & Alert Communication
Manual alerts for margin calls, pledge expiries, and RMS notifications lead to compliance risk and investor frustration.
Fragmented Client Communication
Calls, WhatsApp chats, and email threads sit in silos so advisors and service desks lack context when investors follow up.
Risk & Surveillance Pressure
Monitoring RMS limits, suspicious activity, and regulatory escalations requires orchestrated workflows between risk, compliance, and dealer desks.
Partner & Sub Broker Coordination
Partner networks need structured updates on leads, commissions, and compliance submissions without constant manual chasing.
How Converiqo orchestrates brokerage operations
AI and workflow automation align lead engines, compliance steps, and investor communication.
Sales & Lead Engine
Capture investor interest from campaigns, referrals, and partner branches with scoring, nudges, and RM routing.
Customer Self Service
Investors get instant answers to onboarding, platform, and portfolio questions on WhatsApp, web widgets, email, and in app chat.
Contact Center Intelligence
Unify calls, emails, WhatsApp, and IVR tickets into contextual views so service teams resolve faster with AI prompts.
Workflow Automation & Compliance
Standardize onboarding, KYC, escalation handling, payouts, and approvals with SLA timers and regulatory trails.
Core module
Sales & Lead Engine
Automate lead capture, enrichment, and onboarding journeys from first enquiry to first trade.
Automation flow
Sales / Lead Engine – Campaign to Account Activation
Capture leads from digital campaigns, branches, referral codes, webinars, and partner franchises with automatic segmentation by investor type and asset interest.
Enrich profiles with demographics, trading experience, income range, and risk appetite to prioritize HNI or derivatives focused prospects.
Trigger onboarding journeys highlighting missing documents, IPV scheduling, and in person verification reminders with escalations to advisors.
Integrate RM and dealer desk calendars to book demos, explain plans, and convert demat plus trading account packages.
Sync activation status with back office systems to highlight stuck stages like e-sign pending, POA not received, or penny drop failed.
Push nudges for cross selling margin trading, research subscriptions, or PMS once trading activity patterns match configured triggers.
Automation flow
Customer Self-Service – Investors Stay Updated 24x7
Investors ask anything about KYC, onboarding steps, document formats, or approval timelines and receive guided responses instantly.
Share live ticket status for account modification, bank change, segment enablement, and DP requests without manual callbacks.
Serve contextual answers on order status, rejected trades, RMS limits, pledging, and collateral releases via WhatsApp, Telegram, or web chat.
Offer self service flows for downloading statements, contract notes, margin ledgers, and tax proofs after authentication.
Display live alerts for margin shortfalls, auction risks, corporate action deadlines, and system maintenance windows.
Provide onboarding trackers for new investors that highlight completed steps, pending actions, and estimated go live dates.
Automation flow
Ticketing System – Structured Case Handling
Automate ticket capture for account, trading, payout, DP, and compliance issues raised across calls, email, web forms, and chat.
Classify tickets by product segment (equity, F&O, commodity, currency, MF, bonds) and priority to align with specialized desks.
Route trading platform defects to tech teams while investor still sees progress, ETA, and fallback instructions.
Attach required documents, voice logs, or screen recordings within the ticket so reviewers see full context before approving.
Enable SLA timers for each stage with escalations to supervisors when breaches approach or branch teams delay closure.
Provide closure summaries back to investors with actions taken, references, and compliance remarks for audit trails.
Automation flow
Contact Center Module – Unified Investor Conversations
Centralize inbound IVR, dealer desk calls, WhatsApp chats, and email threads into one console with investor identity resolved.
Surface active tickets, account tier, AUM, and recent trades on screen pops so agents personalize answers instantly.
Offer AI guided scripts for common scenarios like margin calls, pledge rejections, IPO mandates, and fund settlement delays.
Automate outbound dialers for onboarding follow ups, dormant account reactivation, and compliance reminders.
Provide supervisors with live dashboards on queue load, market hour call surges, and unresolved alerts for real time staffing decisions.
Transcribe and summarize calls for QA review, risk identification, and faster training loops.
Automation flow
Workflow Automation – Regulated Processes Without Friction
Orchestrate digital onboarding workflows spanning KYC, IPV, POA pickup, demat creation, and multi segment activation.
Connect RMS alerts to automated investor messaging, ticket creation, and supervisor escalation when exposures breach limits.
Trigger investigative workflows for surveillance alerts, unusual trades, insider watchlists, or AML flags with action logs.
Automate payout approvals, bank mandate changes, nominee updates, and FATCA refresh cycles with multi level approvals.
Link partner empanelment, revenue sharing approvals, and compliance attestations in a single view for franchise support.
Integrate workflow checkpoints with existing back office, risk, and research tools through APIs or secure file drops.
Automation flow
Marketing Module – Investor Engagement & Upsell
Run segmented nurture journeys for first time investors, derivatives aspirants, or wealth desk prospects.
Automate notifications for IPO windows, new product launches, research calls, and education webinars with RSVP capture.
Deploy retention campaigns for inactive accounts with tailored offers like zero brokerage days or advisory trials.
Create referral and partner incentive workflows that track source, payout, and compliance documentation.
Share dynamic content blocks featuring market explainers, risk awareness notes, and explainer videos per channel.
Measure marketing ROI with dashboards for lead to account conversion, AUM added, and engagement scores by list.
Automation flow
Knowledge Management – Single Source of Truth
Maintain updated SOPs for onboarding, DP services, RMS actions, and payouts with version control and approval logs.
Provide searchable playbooks for dealer desks, service teams, and partners with AI assisted answers.
Upload regulatory circulars, exchange notifications, and compliance advisories with automatic distribution workflows.
Create investor facing knowledge packs for onboarding, platform navigation, investment basics, and risk disclosures.
Tag content by asset class, team, and risk level so AI responses reference accurate instructions.
Track article consumption, outdated content, and suggestion requests to keep handbooks fresh.
Automation flow
Feedback / Survey – Voice of Investor & Partner
Launch CSAT and NPS surveys after onboarding completion, ticket closure, or campaign interactions.
Capture sentiment from high frequency traders on execution quality, platform performance, and research impact.
Collect partner and sub broker feedback on lead sharing, commission visibility, and compliance assistance.
Correlate feedback with ticket history, product usage, and RM interactions to spot systemic issues.
Automate detractor escalation workflows to relevant desk leaders with contextual insights.
Publish executive dashboards for investor happiness, service quality, and partner loyalty.
Stakeholder outcomes
Benefits across brokerage leadership & teams
Everyone from founders to investors gains clarity, compliance, and faster turnaround.
Founders & CEOs
- Single command center for growth, compliance, and service KPIs.
- Faster onboarding and activation cycles drive revenue realization.
- Audit ready workflows reduce regulatory anxiety.
Dealer Desks & RMs
- Context rich screens reduce hold time while serving active traders.
- Automated reminders prevent missed callbacks during market moves.
- Playbooks guide conversations around margin, derivatives, and pledging rules.
Compliance & Risk Teams
- Workflow trails document every approval, exception, and notification.
- Surveillance alerts track actions, owners, and closure proofs.
- Automated investor communication reduces non compliance penalties.
Operations & Service Desks
- Ticket queues stay organized with SLA based routing and escalations.
- Self service deflects repetitive onboarding and document queries.
- Knowledge base ensures consistent responses across shifts.
Marketing & Growth Teams
- Lead scoring focuses budgets on accounts ready to activate.
- Campaign dashboards link education funnels to active portfolios.
- Referral and partner journeys stay transparent end to end.
Investors & Partners
- Real time clarity on tickets, alerts, and onboarding progress.
- Omni channel access without repeating details to every desk.
- Structured updates build trust during volatile trading days.
Deployment fit
Built for every brokerage model
Retail, wealth, franchise, and fintech teams run on one automation layer.
Retail & Discount Brokers
Automate digital onboarding, DIY investor support, and margin alerts at scale.
Full Service Brokers
Unify RM desks, advisory workflows, and premium service requests with compliance guardrails.
Wealth & Advisory Firms
Deliver personalized communication, research distribution, and ticketing for HNI relationships.
Sub Broker & Franchise Networks
Provide partner portals for lead sharing, compliance submissions, and revenue statements.
Fintech & Neo Broking Platforms
Embed AI workflows into apps to handle surges in onboarding and investor education.
Global Brokerages Serving India
Localize KYC, risk, and communication workflows while keeping existing core systems.
Proof of impact
Brokerage leaders rely on measurable outcomes
Trading desks stay in sync with Converiqo
3.2x
Faster investor query resolution
48%
Cut in onboarding exceptions
60%
Reduction in manual alerts
2.5x
Increase in self service adoption
Customer voice
“Converiqo helped us triage investor tickets during volatile sessions while keeping compliance documentation watertight. Advisors now spend more time on revenue conversations and less on chasing paperwork.”
Raghav Mehta, COO, Crestline Securities
Need-to-know
Frequently asked questions
Answers for brokerage founders, operations heads, and compliance teams.
How can agentic AI assist modern stock brokers?
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Agentic AI automates investor queries, organizes trade related service tasks, and accelerates communication between support teams and clients. It helps brokers manage heavy daily volumes, reduce manual workloads, and maintain faster responses to account, trading, or platform related issues.
What operational challenges do stock broking firms face today?
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Brokers deal with high query volumes, compliance heavy processes, missed follow ups, and fragmented client communication. Automation reduces errors, streamlines investor servicing, and ensures faster handling of KYC, onboarding, account issues, and trading platform queries.
Can automation improve account servicing for stock market clients?
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Yes. Automation classifies investor issues, assigns priorities, and triggers reminders for pending actions like KYC, margin updates, or document submissions. It speeds up query resolution and reduces dependency on manual follow ups by support teams.
How does AI enhance communication with active traders?
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AI sends automated alerts about order updates, margin calls, system statuses, ticket progress, and compliance reminders. Traders get real time clarity without waiting for callbacks, improving transparency and reducing communication gaps for high activity clients.
What KPIs should stock brokers measure using automation?
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Important KPIs include query resolution time, onboarding completion rate, platform issue frequency, lead to account conversion, client engagement score, compliance turnaround time, and support productivity. These metrics help brokers optimize processes and improve investor satisfaction.
How does Converiqo’s Lead Engine improve client conversion?
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The Lead Engine captures leads from campaigns, referrals, websites, and partner channels. It tags interest level, onboarding readiness, and risk profile, enabling brokers to prioritize prospects effectively and convert more inquiries into active trading accounts.
How does Customer Self-Service streamline investor support tasks?
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Customer Self-Service lets traders access FAQs, track tickets, view onboarding steps, check document requirements, and monitor service request status anytime. It reduces call volumes and provides faster clarity for both new and active stock market clients.
Why should stock brokers adopt Converiqo’s Ticketing System?
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Converiqo’s Ticketing System organizes account issues, margin queries, platform errors, and compliance requests into structured cases. It ensures accountability, SLA tracking, and seamless coordination across support, advisory, and technical teams.
How does Converiqo’s Contact Center enhance client communication?
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The Contact Center Module centralizes inbound calls, emails, WhatsApp chats, and IVR interactions. It provides unified client visibility, faster routing, and contextual responses, helping brokers reduce wait times and improve overall service quality.
How do Converiqo’s workflows and feedback improve brokerage operations?
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Workflow Automation standardizes onboarding, KYC, escalation handling, and issue resolution steps. Combined with Feedback and Survey insights, brokers can optimize service quality, improve team performance, and deliver a more consistent and reliable investor experience.
Brokerage excellence
Ready to automate investor onboarding, support, and alerts?
Plug Converiqo into your brokerage stack to streamline lead engines, service desks, compliance workflows, and investor communication without replacing core trading systems.