Onboard clients and clear compliance faster

Capabilities

Everything included, nothing bolted on after the fact.

Guided fact find and application collection
Identity, address and source of funds checks
CDD and AML/CFT exception flagging
PDS and provider document search
Client file assembly and gap chasing
Statement of advice and review drafting
FMA and CCCFA aware record keeping
Handoff with full context to the adviser

Every build starts with a fixed-scope conversation, no surprise line items after the fact.

The build itself, not a proof of concept.

01Client onboarding

An agent walks a new client through fact find and application forms, collects what is missing and assembles a complete file, so nothing bounces back half filled.

02KYC and AML checks

Identity documents, proof of address and source of funds read, verified and flagged against your CDD requirements, with the exceptions surfaced for a human to decide.

03Adviser support

Ask across product PDS documents, provider rate sheets and past advice files in plain English and get a sourced answer, so research that took an afternoon takes a minute.

04Statement of advice prep

Drafts assembled from the client file and your templates, with the numbers pulled from the data instead of re-keyed, ready for the adviser to check and sign.

FAQ

How does client onboarding actually work with this in place?

A new client is walked through the fact find and application forms by the agent, which collects what is missing and assembles a complete file. Identity, address and source of funds documents get read and verified against your CDD requirements, with exceptions flagged for a person to decide.

Do we need our compliance rules documented already?

Yes, in some form. The agent checks documents against your CDD and AML/CFT requirements, so it needs to know what those requirements are. If your process already exists on paper or in a checklist, that is enough to start from.

Does this replace our compliance manager or adviser?

No. The agent collects, verifies and flags exceptions, but a person makes the actual compliance decisions and signs the statement of advice. It clears the file to the adviser, it does not replace them.

What happens when a document does not match up?

Anything that does not clear the CDD and AML/CFT checks gets surfaced as an exception for a human to decide, rather than waved through or silently rejected. Nothing sensitive moves without a person looking at it.

Interested in solving your problems with financial services?

Tell us what you are trying to do and we will reply with how we would build it, no obligation.

Onboarding and compliance move from days of back and forth to a checked file in front of the adviser, with a full audit trail your compliance manager can stand behind.

Let’s talk