Connect your exception queue
Start with the exceptions in your existing workflow. Keep the OMS your team already knows.
POST-TRADE EXCEPTIONS, UNDER CONTROLClear the queue.
Clear the queue.
Keep your morning.
AffirmDesk proposes the resolution, drafts the counterparty email, and logs the evidence for every trade-affirmation exception. A human approves everything.
Get early accessHuman approval. Every time.
T+1 OPERATIONS / SMALL BROKER-DEALERS
TRADE AFFIRMATION
Needs your reviewQuantity mismatch
ISSUERecords don’t match
NEXT STEPConfirm with counterparty
Proposed counterparty email
Could you confirm the trade quantity against the attached record? We’ve flagged a difference for review.
Evidence attached Ready for human approval
A SHORTER WINDOW. THE SAME QUEUE.The work between
The work between
the trade and the close.
A shorter affirmation window. The same exception queue. Your morning disappears into CSV exports, counterparty emails, and evidence scattered across spreadsheets. Give each exception a clear next step and keep the record together.
CSV exportsCounterparty emailsEvidence spreadsheets
EXAMINE THE WORKFLOW
Every exception has a next step.
Explore an illustrative review. The proposed action changes with the exception; your approval remains the checkpoint.
EXCEPTION REVIEWILLUSTRATIVE PREVIEW
Human review required
Compare the records
The booked quantity differs between the internal record and the counterparty confirmation.
PROPOSED NEXT STEP
Ask the counterparty to confirm the quantity against the attached trade record.
Trade record · Counterparty confirmation
A person reviews the proposal before action.
ONE TRACEABLE WORKFLOW
From exception to evidence.
Review proposed resolutions
A proposed fix, a drafted counterparty email, and the supporting evidence, ready for your approval.
Keep the complete trail
Every exception, resolution, and human approval recorded in one place.
PURPOSEFULLY FOCUSEDA small ops team deserves
A small ops team deserves
a better morning.
Built for
Small broker-dealers with 1–150 reps
Operations teams clearing exceptions by hand
Firms looking for a clearer evidence trail
Not the right fit for
—Teams already covered by enterprise exception tooling
—Firms with no daily exception workflow
WHAT THE PILOT IS DESIGNED TO DELIVER
A record you can follow. A decision you still own.
The pilot is designed around the work your team actually does, from the first queue export to the final review.
Your existing queue
Begin with your current exception workflow and agree on the inputs. No promise of an unverified integration.
A review-ready proposal
Bring the issue, proposed next step, and drafted outreach together so the reviewer has the context.
A documented decision
Keep the human decision and supporting evidence connected to the original exception.
A FEW THINGS TO KNOWBefore we
Before we
get started.
Clear expectations make a better pilot.
Will AffirmDesk resolve trades automatically?
No. The proposed workflow requires human approval. Drafts and proposed resolutions support the operations team’s decisions.
Do we need to replace our OMS?
The pilot starts with your existing process. We will agree on how to receive the exception queue before onboarding; specific integrations are not assumed.
Is this a compliance certification?
No. Organizing evidence can support your process, but the firm remains responsible for its controls, records, and regulatory obligations.
THE FOUNDING PILOT
3 pilot slots for small broker-dealers.
We’re onboarding a small group to shape the workflow around real exception traffic. Free during the pilot, with direct input on the product. Leave your details — I’ll reply personally within 24 hours.
S
ShubhankarYour direct point of contact