UYP Systems · Finance
The file, the exception and the chase, in one workflow.
Onboarding is a file that has to be complete. The delay is the chase for what is missing.
Software for the operations inside banks, advisers, lenders and insurers. Onboarding, breaks, packs and the record someone will ask for later.
Where time gets lost
Work that still depends on who is free to chase it
- A client is half onboardedThe missing document is named. The chase goes out. The file does not move forward until the firm’s rule is met.
- A reconciliation breaks overnightThe break is queued with the two figures and the likely cause. It waits for the firm to clear it. It does not clear itself.
- An auditor asks for the fileThe pack is assembled from work already recorded: what was collected, what was exceptional, and what was signed.
The cost is the queue around the work. The decision stays with the organisation.
Flagship
Client onboarding
Evidence arrives by email, portal and post. Checklists live in someone’s head. Cases move forward with gaps.
The firm’s checklist is applied to every case. Missing items are requested. A case that fails a rule is held, with the failed rule shown.
- 01
Open
The case is created from the instruction.
- 02
Collect
The checklist is requested once.
- 03
Test
Each item is checked against the firm’s rule.
- 04
Hold or pass
Clean cases move. The rest stay, with the reason.
The firm owns the rules and any exception to them.
The range
Software built around finance.
13 workflows. Each one takes a queue of operational work and keeps the decision with the organisation.
Client onboarding
Onboarding is a file that has to be complete. The delay is the chase for what is missing.
- Open
- Collect
- Test
- Hold or pass
Evidence collection
The evidence usually exists. The work is asking, filing and knowing what has not arrived.
- Name
- Ask
- File
- Show
Reconciliation exceptions
A reconciliation that matches needs no one. The work is the break.
- Compare
- Pass
- Queue
- Clear
Billing exceptions
Most invoices are routine. The cost is the one that should not have gone out.
- Read
- Test
- Hold
- Release
Payment exceptions
A payment that matches can move. A payment that does not should stop.
- Expect
- Receive
- Match
- Queue
Advice-file administration
The advice is the firm’s. The file around it should not depend on a desk drawer.
- Structure
- Capture
- Chase
- Keep
Mortgage pack assembly
A mortgage pack is a known set of pages. The delay is the page that is not there.
- List
- File
- Show
- Submit
Claims administration
A claim is a case with evidence and a clock. Both should be visible from the day it arrives.
- Register
- Evidence
- Stall
- Route
Complaint files
A complaint file is a timeline. It should exist from the first contact, not from the final response.
- Open
- Attach
- Time
- Draft
Compliance evidence packs
The evidence of control should be a by-product of the work, not a project before a visit.
- Define
- Pull
- Gap
- Sign
Audit trail assembly
An audit trail is only useful if it was written at the time.
- Track
- Store
- Show
- Export
Regulatory reporting packs
A return should be a pack built from source figures, with every adjustment visible.
- Pull
- Adjust
- Pack
- Hold
Affordability evidence
Affordability evidence is a set of documents and a calculation the firm already has a view on.
- List
- File
- Calculate
- Review
The operational case
Less administration around the same work.
The comparisons are the change each workflow is built for. A person still approves the step that needs one.
Current process
Client onboarding
An inbox and a spreadsheet of what is still outstanding.
With UYP Systems
Client onboarding
A case, a checklist, a pass or a hold.
Current process
Evidence collection
Chasers written from memory.
With UYP Systems
Evidence collection
An itemised file with an outstanding list.
Current process
Reconciliation exceptions
A spreadsheet and a search through old mail.
With UYP Systems
Reconciliation exceptions
A queue of only the items that do not match.
Current process
Billing exceptions
A sample, or a complaint.
With UYP Systems
Billing exceptions
Every invoice, the same checks, holds only where they fail.
How we work
The software is fitted to the operation.
Timing depends on scope, access to the systems already in use, and how much is configuration versus a new build.
01
Discover
The operation, the queue that is eating the day, and the systems already in use.
02
Design and build
The workflow, including the points where a person approves an action.
03
Integrate
Connect the applications and records that are relevant and accessible.
04
Deploy and support
Test, launch and keep the workflow as the operation changes.
Questions
What stays with your team.
Client onboarding
The firm owns the rules and any exception to them.
Evidence collection
What counts as sufficient evidence is the firm’s rule.
Reconciliation exceptions
How a break is cleared, and who may clear it, stays with the firm.
Billing exceptions
The checks, and any override, are the firm’s.
Tell us which queue is eating the day.
The conversation starts from the workflow, the systems already in place, and where a person has to approve the outcome.