AML, KYC &
Investor
Onboarding for
Broker Dealers
Built with AI for AML and KYC automation, Steward helps broker-dealers meet FINRA and SEC expectations without slowing down growth or client experience.
Trusted by
Why AML and KYC are difficult for Broker-Dealers
Broker-dealers face pressure to manage thousands of client relationships while meeting regulatory demands for accurate KYC and timely AML reviews. Legacy software struggles to keep up, causing delays, false positives, and audit risks.
High-volume KYC and KYB verification across individuals and legal entities
Meeting FINRA and SEC AML obligations with limited compliance resources
Excessive false positives from sanctions lists and PEP screening
Manual enhanced due diligence for high-risk or complex accounts
Maintaining audit-ready records across onboarding and lifecycle reviews
Coordinating onboarding, AML screening, and monitoring across siloed systems
How Broker-Dealers
use Steward
Investor & Account Onboarding
Digitised, configurable onboarding workflows for retail and institutional clients allow you to reduce time to account opening while maintaining regulatory control.
KYC & KYB Verification
AI-powered document analysis and relationship mapping streamline KYC as a service and Know Your Business checks, even across complex ownership structures.
AI-Driven AML Screening
Integrated sanctions screening, PEP identification, and adverse media monitoring using AI in AML to reduce noise and surface genuinely relevant risk.
Risk Scoring & AML Intelligence
Automated AML risk scoring synthesises KYC data, screening outcomes, geography, and client behaviour into a single, defensible risk profile.
Ongoing Monitoring & Periodic Reviews
Continuous rescreening and intelligent triggers ensure client records stay current to support FINRA AML rules, FATF guidance, and internal risk frameworks.
Typical Broker
Dealer needs
High-volume retail onboarding with fast KYC
Institutional and corporate KYB with ownership checks
AML screening against global sanctions lists
Enhanced due diligence for PEPs and high-risk clients
Continuous monitoring and lifecycle AML reviews
FINRA exam readiness with full audit trails
Trusted by service providers
supporting complex investor risk
"What started with one fund led us to move our entire portfolio to Steward, delivering seamless, AI-powered onboarding with a highly responsive team."
Mark Pettit
CFO @ Connect Ventures
"Steward's document-first onboarding quickly extracts required information, flagging gaps, and removing blockers, even for complex structures."
D'Arcy Martin
Platform @ Outward VC
"Steward cuts manual review time, improves decision consistency, and strengthens audit defensibility, freeing compliance teams to focus on higher-value work."
Sol Alagba
Head of Compliance @ IAB Group
"What started with one fund led us to move our entire portfolio to Steward, delivering seamless, AI-powered onboarding with a highly responsive team."
Mark Pettit
CFO @ Connect Ventures
"Steward's document-first onboarding quickly extracts required information, flagging gaps, and removing blockers, even for complex structures."
D'Arcy Martin
Platform @ Outward VC
Getting started
Extend your services with these optional add-ons
Core
Start onboarding your first client in less
than 24 hours.
Standard Risk Ratings
Global onboarding requirements
AI-assisted reviews
AML Reporting
Case management
Scale
Implement your own compliance standards and processes, tailored to your wealth management practice.
Everything in Standard
Dynamic workflows
Risk Matrix adoption
Bespoke document requests
API connectivity
Customizable metrics
Frequently Asked
Questions
Product