Financial Risk Management & Compliance Automation

• Company: Wealth technology provider (anonymized)
• Industry: Fintech and investment operations
• Team Size: 120+ employees
• Headquarters: United States
• Use case: Financial risk management and compliance automation

The Challenge

The company supported multiple advisory workflows, each with its own policy checks, approvals, and evidence requirements. Compliance review was thorough but manual: teams sampled activity, chased screenshots, and reconstructed decision history when auditors asked for proof.

As account volume grew, the process became harder to scale. The team needed continuous monitoring without losing the human approval path for exceptions and overrides.

What Celestice Changed

Celestice centralized policy checks, exception monitoring, approval history, and source evidence. When a portfolio, proposal, or trade workflow breached a reviewed rule, the platform created an exception with the relevant evidence attached. Owners could approve, reject, remediate, or escalate without losing the audit trail.

Compliance leaders gained a live view of open exceptions, aged items, override rationale, and remediation status across teams.

Why It Mattered

The organization moved from retrospective compliance reconstruction to active supervision. Audit preparation became faster because evidence was captured during the workflow rather than assembled after the fact.

Client perspective

Celestice gave our compliance team a live control surface. We can see exceptions, evidence, approvals, and remediation status without chasing screenshots across teams.

Anonymized Fintech

Chief Risk Officer