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Client Onboarding Investment

Investment client onboarding with suitability assessment

Complexity: Complex | Duration: 30m+ | Category: Industry/Financial Services

Tags: onboarding investment suitability kyc

Workflow Diagram​

Steps​

Step 1: Collect information​

Agent: relationship

manager - Gather client details

Step 2: KYC verification​

Agent: kyc

analyst - Verify identity

Step 3: AML screening​

Agent: compliance

auditor - Check watchlists

Step 4: Suitability assessment​

Agent: relationship

manager - Evaluate risk profile

Step 5: Document IPS​

Agent: relationship

manager - Create investment policy

Step 6: Open accounts​

Agent: relationship

manager - Set up brokerage accounts

Step 7: Fund accounts​

Agent: relationship

manager - Process initial deposit

Step 8: Welcome package​

Agent: notification

specialist - Send onboarding materials

Usage​

To execute this workflow:

/workflow industry/financial-services/client-onboarding-investment.workflow

See other workflows in this category for related automation patterns.