Agent Prepares. Human Approves. Always.
Ajax Nova is not a black-box automation. Every output is prepared by an AI agent, reviewed by a qualified human, and approved before anything is finalized or filed. The audit trail captures every step.
The Core Principle: No Autonomous Filing
AI agents in regulated financial environments must operate within a clear human oversight framework. Ajax Nova is designed from the ground up around this constraint. The agent's role is to do the work — ingest data, run calculations, structure the output, flag anomalies. The human's role is to review, question, and approve. Nothing is filed, submitted, or finalized without explicit human sign-off.
What the agent does
- Connects to your data sources and ingests position data, trade records, and financial statements
- Runs the required regulatory calculations with full sourcing
- Structures the output to the exact regulatory format
- Flags anomalies, variances, and items requiring attention
- Routes the draft to the appropriate reviewer
What the human does
- Reviews the complete draft and all supporting calculations
- Investigates any flagged items or exceptions
- Approves, requests revisions, or rejects the draft
- Signs off with a named, timestamped approval
- Authorizes final submission or filing
The Four-Phase Workflow
Ingestion
Data Ingestion and Processing
The agent connects to your source systems — general ledger, position management, trade capture, and custody systems — and ingests the data required for the target report. It runs validation checks, identifies missing or anomalous data, and flags issues before proceeding.
- Connects to GL, position management, trade capture, and custody systems
- Validates data completeness and consistency
- Flags missing data, outliers, and reconciliation breaks
- Maintains a complete ingestion log for audit purposes
Calculation
Regulatory Calculation and Structuring
The agent runs the required regulatory calculations — net capital haircuts, reserve formula credits and debits, systemic risk indicators, or cross-border position aggregations — depending on the target report. Every calculation is sourced to the underlying data.
- Executes the full regulatory calculation logic for the target report
- Sources every line item to the underlying data record
- Computes prior period variances and flags material changes
- Structures output to the exact regulatory format and schema
Review
Human Review and Exception HandlingHuman Approval
The complete draft is routed to the designated reviewer — the CFO, Chief Compliance Officer, or designated financial principal — along with a summary of flagged items and exceptions. The reviewer can drill into any line item, request a revision, or approve the draft.
- Draft routed to the designated reviewer with exception summary
- Reviewer can drill into any line item and its source data
- Exceptions require explicit disposition before approval is available
- Revision requests are routed back to the agent for reprocessing
Approval
Named Approval and Audit SealAudit Sealed
When the reviewer is satisfied, they approve the draft with a named, timestamped sign-off. The audit record is sealed — capturing the full chain of custody from data ingestion through final approval. The approved output is then ready for submission or filing.
- Named, timestamped approval by the designated reviewer
- Audit record sealed — immutable log of every step
- Full chain of custody from data ingestion to final approval
- Approved output formatted for submission or filing
Works with Any AI Model
Ajax Nova is model-agnostic. The automation framework is designed to work with any AI backbone — your institution's internal models, Claude (Anthropic), GPT-4 (OpenAI), Gemini (Google), or others. We configure the system to your requirements and your risk appetite for AI model selection.
Internal bank models
For institutions with approved internal AI infrastructure
Claude (Anthropic)
Strong reasoning and instruction-following for structured outputs
GPT-4 (OpenAI)
Broad capability with extensive financial domain training
Custom configuration
We configure to your model governance requirements
A Complete Record of Every Decision
Every action taken by the agent — and every decision made by the human reviewer — is captured in an immutable audit log. The log records who did what, when, and why. It is available for regulatory examination, internal audit, and management review.
Live Audit Log — FOCUS Report Q3 2026
See the workflow in action
We will walk through a live demonstration of the agent-prepares/human-approves workflow for your specific report.
Request a Demo