Trade Exception & Onboarding Automation for Capital Markets: 6-Week PoC
MAQ Software
The Challenge
In capital markets, speed to trade is a competitive edge — but manual client onboarding, trade reconciliation, and exception handling quietly work against it. Every document keyed by hand, every break resolved from individual knowledge, and every exception routed over email adds delay, operational risk, and cost. The harder question is: how do you take these workflows off manual rails and validate the automation in your own environment without disrupting live operations?
MAQ Software's 6-Week Trade Exception & Onboarding Automation PoC moves you from manual processing to a working, validated automation baseline — deploying and testing real document-intake and exception-handling workflows using Azure AI Foundry, Azure Document Intelligence, Power Automate, and Azure MCP in your environment.
Key questions
- How much time-to-trade are you losing to manual onboarding and reconciliation today?
- Are exceptions handled consistently, or does resolution depend on who happens to pick them up?
- Are document-heavy steps like KYC, account setup, and agreements auditable and traceable?
- Do you have an agent-based automation pattern you can trust in a regulated environment?
- Can automation scale across trade parties and document types without adding operational risk?
Our approach
- Weeks 1–2: Discovery & Environment Setup — Map current onboarding, reconciliation, and exception workflows with your operations team. Provision Azure AI Foundry, Azure Document Intelligence, and Power Automate in your tenant. Prioritize high-volume document types and exception scenarios for the PoC.
- Weeks 3–4: Build & Automate — Configure Azure Document Intelligence to extract and validate onboarding and trade documents. Build Power Automate flows for intake and exception routing, orchestrated by Azure AI Foundry agents connected securely via Azure MCP. Embed human-in-the-loop checkpoints so control stays with your team.
- Weeks 5–6: Validation & Handover — Run end-to-end validation against real onboarding and reconciliation scenarios. Measure reduction in manual touchpoints and time-to-trade. Deliver documented workflows, observed results, and a scale-out roadmap.
Deliverables
- Automated Workflow Configuration — Document-intake and exception-handling flows deployed in your tenant
- Agent Orchestration Setup — Azure AI Foundry agents connected via Azure MCP, with human-in-the-loop controls
- Validation Summary — Measured reduction in manual effort and time-to-trade across tested scenarios
- Configuration Notes — Documented Document Intelligence and Power Automate settings for your operations team
- Scale-Out Roadmap — Practical guidance for expanding automation across trade parties and document types
Business impact
- Reduce manual touchpoints in onboarding and reconciliation, accelerating time-to-trade
- Lower operational risk with consistent, auditable, traceable exception handling
- Give operations teams tested, documented workflows they can run from day one
- Establish an agent-based automation pattern with governance and human oversight built in
- Build internal confidence to scale automation across front-to-back capital markets processes
Who benefits
Users: Trade Operations Analysts, Client Onboarding Specialists, Automation / RPA Engineers, Cloud / Solution Architects
Decision makers: COO / Head of Operations, CIO / IT Directors, Compliance & Risk Officers, Heads of Capital Markets Technology
Prerequisites
- Access to Microsoft 365 and Azure tenant for control deployment
- Representative sample of onboarding and trade documents for the PoC
- Operations and compliance team availability for workflow reviews
- Approved change-control process for automation deployment activities
Why MAQ Software
- Structured, repeatable methodology — our PoC framework is purpose-built for capital markets operations, not adapted from a generic automation project
- Business + technical coverage — we bridge operations requirements and technical delivery, ensuring automation reduces risk rather than adding it
- Clear path forward — this PoC feeds directly into a full-scale automation implementation, so your momentum doesn't stop at week 6
Contact us: CustomerSuccess@MAQSoftware.com to schedule your Trade Exception & Onboarding Automation PoC and take the next step toward faster, lower-risk capital markets operations.