Document collection and fact-find gathers and verifies client paperwork before a financial planning conversation can begin. Manual tracking, repeated emails, and folder checks slow onboarding and strain staff time.
The automated version sends checklists, tracks uploads, verifies identity documents, and compiles fact-find notes without manual follow-up. It shortens document turnaround and gives compliance teams a consistent, audit-ready record.
The full workflow, from trigger to completion.
A new client engagement or annual review event starts the document collection workflow automatically.
The Document Request emails a personalized fact-find checklist based on the client's engagement type.
Client uploads are captured in a shared folder and logged against the checklist in real time.
If documents remain outstanding, the automation sends a follow-up reminder without advisor involvement.
Uploaded identity documents are validated before moving to compliance review.
The Document Verification compares every uploaded file to the required checklist and flags gaps.
The advisor holds the fact-find conversation once documents are confirmed complete and verified.
The Fact-Find Data Compiler updates the client record and issues a compliance-ready summary.
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