Finance
Client onboarding
The firm owns the rules and any exception to them.
Onboarding is a file that has to be complete. The delay is the chase for what is missing.
The workflow
Client onboarding
- 01Open
The case is created from the instruction.
- 02Collect
The checklist is requested once.
- 03Test
Each item is checked against the firm’s rule.
- 04Hold or pass
Clean cases move. The rest stay, with the reason.
The firm owns the rules and any exception to them.
The problem
Client onboarding still depends on a queue.
Evidence arrives by email, portal and post. Checklists live in someone’s head. Cases move forward with gaps.
Current process
An inbox and a spreadsheet of what is still outstanding.
Evidence arrives by email, portal and post. Checklists live in someone’s head. Cases move forward with gaps.
The solution
A recorded workflow, with people where the decision sits.
Handled in the workflow
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.
- Open
- Collect
- Test
- Hold or pass
Your team stays in control
The firm owns the rules and any exception to them.
A case, a checklist, a pass or a hold.
How it works
From the queue to a recorded outcome.
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.
Without it
An inbox and a spreadsheet of what is still outstanding.
With UYP Systems
A case, a checklist, a pass or a hold.
The firm owns the rules and any exception to them.
Also in Finance
The rest of the range.
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
Discuss Client onboarding.
Onboarding is a file that has to be complete. The delay is the chase for what is missing.