Regulatory Automation for Banks and Broker-Dealers
AI agents prepare every report and workflow — a human reviews and approves before anything is final.
Built for Every Level of Oversight
Every role sees exactly what they need. Analysts manage task queues and exceptions. Executives get a rolled-up view of efficiency and audit status. CCOs track filing calendars and key risk indicators — all with a complete, immutable audit trail.
View all dashboardsReports Processed This Week
Exception Queue
Customer Reserve — debit item variance >$50K
Requires senior review before approval
FOCUS — prior period restatement detected
Reconciliation required
FOCUS Report Q3
Agent-7
Net Capital 15c3-1
Agent-3
FR Y-15 Systemic Risk
Agent-2
Agent Throughput — 30 Days
↑ 18%Agent prepares. Human approves. Always.
Works with any AI backbone — internal bank models, Claude, OpenAI, or others.
Ingest & Process
The AI agent connects to your data sources, ingests position data, trade records, and financial statements, and runs the required calculations — automatically.
Draft & Structure
A complete, structured report draft is generated — formatted to regulatory specifications, with every line item sourced and traceable to the underlying data.
Human Reviews & ApprovesHuman Approval
The draft is routed to the appropriate reviewer. No report is finalized or filed without explicit human sign-off. The audit trail captures every decision.
Five Core Regulatory Workflows, Fully Automated
Purpose-built for the reports that matter most to banks and broker-dealers operating under SEC and FINRA oversight.
FINRA Rule 17a-5
FOCUS Report
Automates the full Financial and Operational Combined Uniform Single report — balance sheet, income statement, net capital, and reserve computations.
Rule 15c3-1
Net Capital
Computes allowable net capital, haircuts on securities positions, and aggregate indebtedness ratios with full supporting schedules.
Rule 15c3-3
Customer Reserve Formula
Calculates the customer reserve requirement, credits and debits, and the required deposit — with reconciliation to prior periods.
Federal Reserve Systemic Risk
FR Y-15
Automates the systemic risk report for large bank holding companies — activity indicators, interconnectedness, and complexity measures.
Treasury International Capital
TIC Reports
Processes cross-border securities transactions and positions for TIC B, C, D, and S forms — with automated counterparty classification.
Built by People Who Know the Work
Ajax Nova was founded by practitioners with deep experience in financial regulation, broker-dealer operations, and enterprise AI systems. We have spent careers inside the workflows we now automate — writing FOCUS reports, managing net capital calculations, and navigating the operational complexity of regulated institutions.
We are not a generic AI vendor applying general-purpose tools to financial problems. Every automation we build is purpose-designed for the specific regulatory framework it addresses — the data structures, the calculation logic, the filing requirements, and the audit standards that regulators actually enforce.
Our clients are Co-CEOs, Chief Compliance Officers, and Risk and Operations leaders who need automation they can trust — not just speed, but accuracy, transparency, and a complete record of every decision.
Leadership Team
Founders & Managing Partners
Ready to automate your next regulatory filing?
Schedule a working session with our team. We will walk through your current workflow and show you exactly what automation looks like for your firm.
Request a DemoSample Audit Trail