SurgeONE.ai announced a partnership with United Planners Financial Services to consolidate its compliance, cybersecurity and data operations onto a single platform, replacing the firm’s fragmented legacy tools with a single AI-enabled system.
“In our evaluation of vendors in this space, we didn’t find anything built the way SurgeONE.ai is built – by people who have actually sat across the table from regulators,” said Dave Hauer, Chief Compliance Officer at United Planners.
SurgeONE.ai’s team includes former regulatory professionals, broker-dealer CCOs, cybersecurity practitioners and enterprise data engineers.
“This was a strategic decision about who is capable of building the stack to power the AI Regulatory solutions the industry needs and only Surge has built the platform capable of transitioning our industry forward,” said Aaron Spradlin, Chief Technology and Security Officer at United Planners.
The platform provided to United Planners will include four elements of SurgeONE.ai’s services: compliance automation by RegVerse, data integration by Kovair, cybersecurity monitoring by Security Snapshot and regulatory services by MGL Consulting.
“AI on its own does not solve regulatory complexity,” said Sid Yenamandra, CEO and Founder of SurgeONE.ai. “SurgeONE.ai was built by the people who lived this problem, including former regulatory professionals, cybersecurity operators, and compliance practitioners who understand what examiners actually look for. United Planners had the vision to see that, and this partnership is a model for where the industry is headed.”
According to a press release, United Planners selected the platform for real-time visibility of compliance standing and faster reviews, as well as keeping firm policies current for exams.
Established in 1987, United Planners provides financial planning, investment management and insurance services.
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