# AI Employee for Financial Advisors | ASIC RG 255 Aligned

> AI Employee for Australian financial advisors. SOA drafting, client onboarding, fact find collation, review tracking. Single-tenant on AWS Sydney. ASIC RG 255 aligned. Early access.

**Source:** https://agentive.au/ai-employee/use-cases/financial-advisors/

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[Back to All Use Cases](/ai-employee/use-cases) Early Access · Next After Accounting

# AI Employee for Financial Advisors

A dedicated AI Operation Engine that handles the workflow around your advice: client onboarding, fact-find collation, SOA drafting, review tracking. Single-tenant on AWS Sydney. ASIC RG 255 aligned.

[Join Early Access](https://meetings-ap1.hubspot.com/agentive/30min) [What is an AI Employee?](/ai-employee)

## What an Advisor's AI Employee Does

### Client Onboarding

Collects fact-find documents, verifies IDs, sets up portal access, and prepares the engagement file. Every step logged.

### SOA Drafting

Drafts Statements of Advice from your templates, populated from the fact find. Format, structure, consistency. You review and approve.

### Annual Review Tracking

Tracks ongoing fee arrangements, sends review reminders, prepares review packs, and flags clients overdue for engagement.

### Compliance Filing

Assembles compliance files, indexes documents to ASIC requirements, prepares audit-ready exports.

## Built Around the Regulatory Reality

Personal financial advice is regulated. The AI does the workflow; the advisor does the advice. Every action is logged, attributable, and reversible. Aligned with ASIC RG 255 (digital advice) and APRA CPS 234 (information security).

### ASIC RG 255

Workflows aligned with digital advice expectations.

### APRA CPS 234

Information security designed to APRA expectations.

### Human Sign-Off

No autonomous advice delivery. Ever.

## Related Reading

[

### The AI Employee Pillar

Sovereignty, single-tenant architecture, finance industry roadmap.

](/ai-employee)[

### What Is an AI Employee?

Category guide. How an AI Employee differs from ChatGPT and Copilot.

](/blog/what-is-an-ai-employee)[

### AI Employee for Accountants

Currently live. Xero, BAS, multi-client, white-label reporting.

](/ai-employee/use-cases/accountants)[

### AI Employee for Auditors

Sampling, working papers, evidence review. Early access.

](/ai-employee/use-cases/auditors)

## Join the Advisor Early Access

Be among the first Australian advice practices to deploy a sovereign, audit-ready AI Employee.

[Book a Discovery Call](https://meetings-ap1.hubspot.com/agentive/30min)