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Client Onboarding Process in Financial Services

Streamline your client onboarding in financial services with our workflow, ensuring a comprehensive risk assessment, client profile creation, and personalized financial planning.

Collect potential client's information

Perform initial risk assessment

Generate client identification number

Create a preliminary client profile

Arrange introductory meeting with potential client

Prepare for introductory meeting

Conduct introductory meeting

Document details and information from the meeting

Review and analyze client's financial goals and needs

Approval: Client's Financial Goals

Develop an individualized financial plan

Present financial plan to the client

Receive feedback and make necessary changes

Finalize financial plan

Submit finalized plan for compliance review

Approval: Compliance Officer

Set up plan in financial software system

Organize a final meeting with the client

Closing meeting and plan execution

Send welcome aboard package to client

Collect potential client's information

Collect all necessary information about the potential client. This includes personal information, financial details, and any other relevant information. The collected information will be used to assess the client's risk profile and determine the appropriate financial plan.

Client's Full Name

Client's Address

Client's Phone Number

Client's Email Address

Perform initial risk assessment

Assess the potential client's risk tolerance and risk capacity. This will help determine the level of investment risk that is suitable for the client. Consider factors such as the client's financial goals, investment knowledge, and time horizon.

Client's Risk Tolerance