Problem Statement
Delivering personalised investment guidance manually is resource-intensive and creates compliance risk. Figg Wealth needed to automate advice, risk profiling, and document handling at scale while maintaining strict alignment with MiFID II and FCA standards — producing consistent, auditable outcomes, with appropriate guardrails on what an AI is allowed to say.
Proposed Solution & Architecture
We designed Ask Figg as a cloud-native platform on Amazon EKS, orchestrating an Amazon Bedrock agent for conversational wealth guidance alongside a deterministic risk-profiling engine. The platform combines large-language-model reasoning with rule-based regulatory logic, a polyglot data layer for structured and document data, and defence-in-depth security throughout.
Ask Figg Conversational Agent
An Amazon Bedrock agent (Anthropic Claude) delivers conversational wealth guidance grounded in the user's profile and Figg's knowledge base — with guardrails constraining scope, tone, and the boundaries of regulated advice.
Automated Risk-Profiling Engine
A deterministic scoring engine calculates Risk Capacity and Risk Appetite from a structured MiFID II / FCA-aligned questionnaire, classifying users into five regulatory risk categories with consistent, auditable results.
Document Intelligence & Valuation
Amazon Nova Pro and supporting services process uploaded documents and asset-valuation inputs, with sensitive files served only through secure, time-limited presigned URLs — never public exposure.
Polyglot Data Layer
Amazon Aurora Serverless v2 (PostgreSQL), Amazon DocumentDB, and Amazon DynamoDB each hold the data they are best suited to — relational records, documents, and high-throughput key-value state respectively.
Security & Compliance
Amazon Cognito authentication, AWS WAF and Amazon CloudFront at the edge, AWS KMS encryption, and least-privilege IAM — with an audit trail supporting regulatory readiness.
Scalable by Design
Containerised workloads on Amazon EKS scale with demand, while managed and serverless data services absorb growth without re-architecture.
AWS Services & Technologies
What We Delivered
- Designed and built the Ask Figg platform on Amazon EKS — orchestrating an Amazon Bedrock agent for conversational wealth guidance with scope and safety guardrails.
- Built the automated risk-profiling engine with Figg's compliance stakeholders — mapping MiFID II requirements to questionnaire inputs and scoring weights, calculating Risk Capacity and Risk Appetite independently.
- Implemented document intelligence and asset-valuation handling using Amazon Nova Pro, with sensitive files served only through secure, time-limited presigned URLs.
- Designed a polyglot persistence layer — Amazon Aurora Serverless v2 (PostgreSQL), Amazon DocumentDB, and Amazon DynamoDB — matched to each data type.
- Implemented defence-in-depth security: Amazon Cognito, AWS WAF, Amazon CloudFront, AWS KMS encryption, and least-privilege IAM with audit logging.
- Validated scoring consistency and advisory guardrails across user scenarios for reliable, repeatable outcomes.
Outcomes & Success Metrics
- Personalised wealth guidance delivered conversationally at scale — grounded in each user's profile, with guardrails on the boundaries of regulated advice.
- Investor risk profiling automated — consistent, auditable Risk Capacity and Risk Appetite outcomes mapped to five FCA-aligned categories.
- Document and asset-valuation handling automated with secure, time-limited access — no public exposure of sensitive files.
- Polyglot data layer and Amazon EKS workloads scale with user growth without re-architecture.
- MiFID II and FCA-aligned architecture and outputs reviewed with compliance stakeholders.