Broadridge Financial has a long history of providing solutions for regulatory archival content on behalf of its clients. Many archival solutions rely on legacy technology, requiring regular refresh and overhaul. With the advent of cloud technology, Broadridge has re-imagined archival systems as intelligent information management solutions. Broadridge's solution uses a wide array of AWS services, such as Amazon Glacier, Amazon S3, AWS Lambda, Amazon EC2, Amazon Aurora, Amazon EBS, AWS CloudTrail, Amazon SQS, AWS Direct Connect, Amazon Lex, and Amazon API Gateway. In this session, we explore the architecture behind Broadridge's solution. Attendees gain an understanding of how archival content can become a valuable repository of information that drives client services, data analytics, and business growth.

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“Digitalizing” Core Business Processes – AIIM International 2018
92%of organizations believe that something needs to change
and that they must modernize their information management strategies

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Breaking the Ice: Transform Cold
Archival Data into Fresh Insights
Andrea Chiappe
VP API/PaaS Product Management
Broadridge Financial
S T G 3 5 5
Amit Jha
Solutions Architect
AWS

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once upon a time

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MEat 10 pm….
Amit

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working backwards

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what if….

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Change our behavior

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High-value content

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User experience

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What we recognized in today’s solutions
• Solutions are cost prohibitive
• Typically in house, leveraging expensive hardware and software
• Information is captive
• Minimal interfaces available
• Typically customized to support point solutions
• Information in standardized
• Data and Content must adhere to a structure to be stored and leveraged
• Business use is minimal
• Access via website
• Support e-discovery capabilities

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Traditional Flow

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Our Solution: Intelligent Information Management
A PaaS that turns archive data into live,
useable, actionable information

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4 PHASES
ARCHITECTING
IIM

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4 PHASES
ARCHITECTING
IIM

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“Landing Zone”
H
• A configured, secure, scalable, multi-account AWS environment based
on AWS best practices
• A starting point for net new development and experimentation
• A starting point for customers’ application migration journey
• An environment that allows for iteration and extension over time

19. COLLECT
Devices
Sensors
IoT platforms
AWS IoT STREAMS
IoT
EventsData streams
Migration
Snowball
Logging
Amazon
CloudWatch
AWS
CloudTrail
FILES
DataTransport&Logging
Import/export
Files / Objects
Log files
Media files
Mobile apps
Web apps
Data centers AWS Direct
Connect
RECORDS
Applications
Transactions
Data structures
Database records
Type of Data

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4 PHASES
ARCHITECTING
IIM

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For 70% of organizations, the
monolithic model characteristics of
historic information management has
been replaced by a desire to consume
content capabilities as needed*
*”Digitalizing”CoreBusinessProcesses–AIIMInternational2018

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Companywide mandate to move from ml to ms

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info
Information
services
info
UX API CHATBOT
Abstraction Tier (PaaS)
Information
services
3rd Party
Services
Cloud
services
Data
Lakes
Data
lakes
Data
lakes
Amazon
Aurora
Amazon
DynamoDB
Broadridge presentment tier
including Chatbots (voice and
text), Mobile First UX, and
Microservices APIs
Broadridge PaaS a reusable
purpose driven services tier
BASIC
PREMIUM
Client customers | Clients | Partners | Internal customers
Users and systems will interface
with Broadridge API, UX, or Chatbot
to access information
Architected as a commodities layer
to provide flexibility

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The abstraction layer
Abstraction tier (PaaS)
E-Discovery Traditional Search
Web
Presentment
Compliant
Archival
Actionable
Insights
NLP
Search
Risk & Fraud Image Search
Recommendation
s
Regulatory
Reporting
Pattern
Recognition
Chat Bot
Broadridge
Services
AWS
Services

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4 PHASES
ARCHITECTING
IIM

26. … Can we create services that change the
perception of what it means to store and archive
information, in an effort to make it a value driver to
an enterprise?

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Reimaging customer service
through information
management, AI and Chatbots

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IIM – A Platform Focused on Information Assets
Interrogate
stored
information
Match data
point with
current trade
information
Calculate
differences
Send as text to
user

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IIM – Amplifying the Value of Information Assets
UI API CHATBOT
Secure
Information
Assets
Worm Archival
Streamline
Compliance &
Regulatory
Requests
Discover Insights
by Connecting
Information
Assets
Automate with
Chatbots, Robotic
Process Automaton, OCR
& Machine Learning
Intelligent
Classification &
Tagging
IIM

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4 PHASES
ARCHITECTING
IIM

31. Securing the Solution
Secure
Cloud
Application
SHARED
RESPONSIBILITY
Strong
Compliance
Foundation
Identity &
Access
Management
Enable
Detective
Controls
Establish
Network
Security
Implement
Data
Protection
Optimize
Change
Management
Automate
Security
Functions

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IIM IN AWS CLOUD – Log & Audit
1. All Systems Logs Captured into
Splunk including AWS CloudTrail
and Amazon CloudWatch
1
1
Amazon
CloudWatch
AWS
CloudTrail

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IIM IN AWS CLOUD – High Availability
1. All Systems Logs Captured into
Splunk including AWS CloudTrail
and Amazon Cloud Watch
1

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the adventure begins

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DATA INSIGHTS COMPLIANCE & REGULATORY INFORMATION PLATFORMS OPERATIONAL EFFICIENCIES

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Where we focused (Personas)
Operations Legal & compliance
Customer service &
Experience
1 2 3
• Eliminate data silos
• Support migration,
interoperability, or conversion
• Complete view
• Learn
• GDPR & California privacy
• Regulatory overlap
• Flexible taxonomies
• Anomaly detection
• Automation
• Experience
• Chatbots
• Self service

37. Thank you!
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Andrea Chiappe
Twitter: @ChiappeAndrea
Email: Andrea.Chiappe@broadridge.com

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