Implementation guide · Custom Customer Systems
A prospective client contacts the firm with a financial goal, transition, or concern and expects a credible response. The operating path must prepare the adviser with useful context while keeping suitability, advice, product discussion, and client acceptance with qualified people. This guide isolates how ai concierge should behave at that moment rather than treating the entire operation as one automation project. Hold a calm, bounded written conversation that answers approved questions, gathers useful context, and hands the customer to the right person or next step. For this financial planning and advisory firm, the job must use the practice or firm's approved language, records, ownership, and professional boundaries.
Return to the governed library parentA prospective client contacts the firm with a financial goal, transition, or concern and expects a credible response. The operating path must prepare the adviser with useful context while keeping suitability, advice, product discussion, and client acceptance with qualified people. This guide isolates how ai concierge should behave at that moment rather than treating the entire operation as one automation project.
Hold a calm, bounded written conversation that answers approved questions, gathers useful context, and hands the customer to the right person or next step. For this financial planning and advisory firm, the job must use the practice or firm's approved language, records, ownership, and professional boundaries. Advisers and authorized firm staff retain financial judgment, suitability, advice, recommendations, disclosures, scope, and client acceptance. The configured system may prepare and coordinate the conversation but must not act as an adviser or decide what is appropriate.
Run one de-identified or synthetic prospective-advisory inquiry through the configured path and verify that the test conversation answers within approved knowledge, asks only necessary questions, preserves context, and escalates sensitive or uncertain requests cleanly. Record the expected state, actual state, exception owner, and corrective action before release. Do not release or continue the automated path when the prospect asks for advice, a recommendation, suitability judgment, account action, disclosure interpretation, or an unapproved sensitive-data exchange, or when the answer is outside approved knowledge, sensitive context is unnecessary, or the next human and response expectation are unclear. Preserve the record and route the case to the named human owner.
Trace one recent prospect from first inquiry through adviser preparation, consultation, permissioned follow-up, and a recorded disposition. For AI Concierge, also review transcripts, unanswered questions, handoff timing, captured context, consent state, staff response, and customer-visible wording. This is an implementation control, not a performance claim. Validate it with the business's own recent records, approved policies, synthetic or de-identified test cases, and named human reviewers before release.
Implementation control sheet
Hold a calm, bounded written conversation that answers approved questions, gathers useful context, and hands the customer to the right person or next step. For this financial planning and advisory firm, the job must use the practice or firm's approved language, records, ownership, and professional boundaries.
| Control | Release requirement |
|---|---|
| Required operating inputs |
|
| Release acceptance test | Run one de-identified or synthetic prospective-advisory inquiry through the configured path and verify that the test conversation answers within approved knowledge, asks only necessary questions, preserves context, and escalates sensitive or uncertain requests cleanly. Record the expected state, actual state, exception owner, and corrective action before release. |
| Stop condition | Do not release or continue the automated path when the prospect asks for advice, a recommendation, suitability judgment, account action, disclosure interpretation, or an unapproved sensitive-data exchange, or when the answer is outside approved knowledge, sensitive context is unnecessary, or the next human and response expectation are unclear. Preserve the record and route the case to the named human owner. |
| Human boundary | Advisers and authorized firm staff retain financial judgment, suitability, advice, recommendations, disclosures, scope, and client acceptance. The configured system may prepare and coordinate the conversation but must not act as an adviser or decide what is appropriate. |
Approved prospect questions, disclosure language, communication permissions, and adviser-escalation rules The CRM record and accountable adviser or staff owner for every next step Approved knowledge, tone, identity disclosure, channel, privacy, and prohibited-topic rules Conversation states, handoff triggers, availability, follow-up permissions, and transcript retention boundary
Advisers and authorized firm staff retain financial judgment, suitability, advice, recommendations, disclosures, scope, and client acceptance. The configured system may prepare and coordinate the conversation but must not act as an adviser or decide what is appropriate.
Run one de-identified or synthetic prospective-advisory inquiry through the configured path and verify that the test conversation answers within approved knowledge, asks only necessary questions, preserves context, and escalates sensitive or uncertain requests cleanly. Record the expected state, actual state, exception owner, and corrective action before release. This is an implementation control, not a performance claim. Validate it with the business's own recent records, approved policies, synthetic or de-identified test cases, and named human reviewers before release.