Client Onboarding & Compliance Workflow
Automates end-to-end onboarding of new wealth clients—capturing KYC, verifying documents, profiling investment suitability, and opening accounts.
Client Onboarding & Compliance Workflow
Clients submit their onboarding information via a digital portal. AI agents validate KYC documents, run AML checks, assess investment suitability, and generate a risk profile. Once cleared, the system opens brokerage and advisory accounts, triggering funding instructions.
- Client data collected via onboarding portal
- AI verifies identity and screens AML/sanctions lists
- Suitability Agent builds investor risk profile
- AI checks regulatory compliance and finalizes paperwork
- Accounts opened and client receives welcome materials
Business Impact
- Cuts onboarding time from weeks to ~30 mins
- Accelerates time-to-investment and AUM growth
- 100% adherence to AML/KYC protocols
- Systematic capture of suitability documentation
- Frees advisors from form-filling and follow-ups
- Enables advisors to focus on client strategy
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