AI and ML in Financial Services: How to Prepare Your Financial Services Organization for a New Era of Innovation
In collaboration with Google Cloud
Contents
- Why financial services firms need to act on AI
- Steps to success
- AI and ML in action
- AI and ML business approaches
- AI and ML playbook
- Considerations
- Conclusions
Why Financial Services Firms Need to Act on AI
The hype around artificial intelligence has reached fever pitch, with generative AI becoming a hot topic across podcasts and thought leadership pieces. Businesses in every sector are waking up to the opportunities AI can bring, as well as the significant task of capitalizing on them. Few stand to benefit more than financial services institutions, which have the potential to support—or even replace—archaic, inflexible legacy systems with adaptable, AI-enabled products and platforms. This shift could help future-proof financial services organizations, promote innovation, reduce costs, and ultimately create a smoother experience for both colleagues and customers.
However, adopting AI isn’t just about finding the right tools. The success of any AI strategy depends on whether an organization has invested in the right talent with the skills to support implementation. Google Cloud has been investing in AI for the last 10 years. When polled by Google Cloud, 62% of business leaders said they think their organizations lack the most critical skills to execute their AI strategy. Only 4% said they have the skills needed to achieve their AI goals.
Understanding the practical potential of AI is complex enough for uninitiated businesses, let alone the requirements for adoption. While off-the-shelf solutions are available, it will be the institutions with bespoke, start-from-scratch technology that truly leave their rivals behind.
Let’s take a closer look at how AI and ML could become a part of your business, and how to capitalize on the bold but achievable prospect of harnessing the most powerful AI available.
72% of UK financial services firms are using or developing an ML application.
Steps to Success
- Step 1
- Step 2
- Step 3
- Step 4
AI and ML Business Approaches
AI and ML Value Pools
AI and ML Playbook
Your Strategy
AI and ML in Action: The Services with the Biggest Impact
The business potential for using AI and ML can seem overwhelming, given the sheer scope of potential use cases. Once you have identified the right solution, the next step is to decide where to deploy it first. Below is a framework outlining some of the services with the biggest impact on controlling costs, minimizing risk, and increasing revenue.
Customer
- Chatbots and virtual assistants
- Personalized pricing and recommendations
- Dynamic product creation
- Personal finance management
- Bespoke customer experiences
- Improved customer targeting and acquisition
- Improved customer retention
- Optimized pricing and profit potential
- Better cost control
- Enhanced productivity
- Increased revenues
- Higher conversion rates
- Better cross-sell
- Reduced front book acquisition costs
Colleague
- Auto code generation, testing, and documentation
- Conversational AI
- MLOps
- SRE/AI
- Content creation and personalization
- Remote process automation
- Reduced manual intervention
- Streamlined project delivery
- Reduced risk of inefficiencies
- Optimized, personalized content
- Streamlined production
- Reduced system errors
- Minimized risk
- Reprioritized skillsets
- Better cost control
- Increased revenues
- Enhanced customer engagement
- Increased speed and scale
Function
- Analysis of regulatory documents
- Compliance monitoring (AML and KYC)
- Fraud detection analytics
- Market surveillance
- Compliance monitoring
- Predictive analytics
- Intelligent credit scoring with predictive risk management
- Reduced manual intervention and inefficiencies
- Reduced risk of human error
- Reduced risk of regulatory fines
- Improved fraud detection
- Manage reputational risk
- Minimized risk
- Better cost control
- High compliance standards
- Consistently achieving SLAs
AI and ML Business Approaches: Identify the AI and ML Solution You Need
From customization to costs and latency requirements, there is no one-size-fits-all approach in AI. To help organizations narrow down their needs and expectations, here are three levels of products and services to consider. The suitability and success of your organization’s choice will depend on your team’s experience, skill, and confidence in this space. The first step is to choose the right solution for you.
- Embedded AI
- Core AI Services
- AI and ML Development Lifecycle Services
- Embedded AI: High accessibility, no flexibility, limited AI understanding. ML at the device level, with the end user unaware they’re benefiting from AI. Enhances product or service capabilities via third-party products (e.g., fraud detection, client lifecycle management).
- Core AI Services: Limited accessibility, some flexibility, some AI knowledge. Provides AI power via UI or APIs, with standard models on limited data sets. Examples include Google Bard, ChatGPT, and Midjourney—generative AI enabling users to tap into expansive knowledge bases.
- AI and ML Development Lifecycle Services: Very limited accessibility, high flexibility, extensive AI knowledge. Developed, tested, and validated from scratch, built by combining raw AI services (e.g., Google Cloud products like BigQuery, Vertex AI Workbench, AutoML, and Codelabs) to create new, bespoke AI models.
Pros and Cons:
- Embedded AI: Requires little knowledge of AI model development; suitable for out-of-the-box scenarios. However, lacks flexibility and differentiation.
- Core AI Services: Fast access to proven technology; allows for some differentiation. Some knowledge of AI parameters is useful.
- AI and ML Development Lifecycle Services: Highly powerful and adaptable; supports proprietary approaches and competitive advantage. Requires deep understanding and significant resources.
Impacts:
- Differentiation: Low (Embedded) / Medium (Core) / High (Lifecycle)
- Investment: Low / Medium / High
- Speed: High / Medium / Low
- Risk: Very High / High / Low
AI and ML Playbook: Tailoring to Your Level of Maturity
The pace of AI and ML is so fast that many already feel left behind. The race to adopt these technologies may lead to over-ambitious programs with ineffective outcomes. Large organizations in financial services must pace their programs correctly to avoid failures. Ensure your business and people are ready for your AI strategy to get a fast start.
New Starters:
- Begin with a small scope, aim for soft outcomes, low targets, and lessons for the future.
- Choose transparent AI solutions that provide insight into how the AI model makes decisions. This is especially important in regulated areas. Explaining all aspects of an advanced analytical model is necessary but challenging for a budding AI model risk management team.
- Choose the right AI and ML platform. Cloud infrastructure is essential for training demanding models. Selecting a cloud vendor AI and ML platform removes many integration challenges and narrows the choice of tools and accelerators, allowing business teams to focus on business value rather than building the best platform.
Advanced Users:
Open standards are critical for leveraging AI progress. As models and providers compete for AI supremacy, adhering to open standards ensures your organization has the best options to enable business outcomes.
- Scaling AI and ML usage depends heavily on data. Enabling AI and ML should be a top priority in your data strategy. Break down internal data silos—most organizations suffer from fragmented data estates, outdated governance, and inadequate sharing processes. Leveraging Google Cloud capabilities like BigLake and Dataplex unifies disparate data sets onto a common control plane. With Gen App Builder, developers can use foundation models to build generative chat and search apps quickly, without significant data science or coding experience.
- Employ external data sets. The demand for external data in AI and ML is huge, ranging from open data to train and test models using client, sales, and marketing statistics. Timely access to external data is crucial, and data marketplaces like Google Analytics Hub allow for easy discovery, purchasing, and access to up-to-date authentic data.
- Data virtualization plays a key role in providing data to your AI and ML environment. International financial institutions must deal with data residency constraints, which can mean some data is only available on-premises. Data virtualization helps bring the required data in permissible form to your AI and ML platform. For more in-depth model customization and data center work, Vertex AI offers developer-friendly APIs and an interface that abstracts many complexities of model tuning, prompt engineering, and other tasks traditionally requiring significant data science expertise.
Considerations: The Road Ahead
The AI landscape is evolving rapidly, with new technologies, techniques, and models emerging daily from both commercial and open-source communities. Financial services firms are facing increasing regulations, and the application of AI will need to be carefully initiated, implemented, and monitored. Other areas also require careful attention:
- Business Impact: Managing costs around training, validating, and running AI models, including granular cost insights. Establishing how to drive and monetize proprietary technology. Ensuring operating models and processes align with new AI capabilities.
- Trust: Ensuring AI services provide equal opportunities, maintaining transparency in decision-making, balancing accuracy needs, and prioritizing governance, auditing, compliance, security, and privacy.
- Tech and Data: Ensuring data residency compliance, managing intellectual property, choosing the right technology and vendors, and ensuring data availability and accessibility.
- People and Talent: Educating the business on AI and ML value, overcoming resistance to adoption, finding and retaining talent, and introducing new skills as needed (e.g., AI engineers, MLOps, AI-FinOps). Monitoring and managing API and token consumption.
Conclusions
How to Maximize the Value of Your Generative AI Investment
A single generative AI model will not solve all problems. Bigger is not always better. There is no need for a trillion-parameter model to answer simple questions; tools such as distillation and reinforcement learning mean that smaller models may outperform larger models on specific tasks. Google Cloud provides access to the right model at the right time and cost for your use cases.
- Choose the right model for your needs. Not all models are created equal; some are better suited for certain tasks. Research and select a model well-suited for your specific use case.
- Use the right tools. A variety of tools are available to help you get the most out of your generative AI investment. Ensure you are using the right tools for the job.
- Train and tune your model on the right data. The quality and integrity of your data will significantly impact model performance. Use high-quality, clean data for training and tuning.
- Monitor your model’s performance. After training, monitor performance to identify areas for improvement.
- Use generative AI in conjunction with other technologies. Generative AI is powerful but not a silver bullet. Combine it with other technologies for even more powerful solutions.
- Design with cost-aware architecture in mind. During the design phase, architect your generative AI solutions with cost-awareness. Leveraging services such as Google Cloud Function can help reduce overall costs.
Karen Huish, Director of Financial Services, Google Cloud UKI
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In collaboration with Google Cloud