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FinanceFinancial services & FSPs

Client onboarding & compliance desk

Structured onboarding, document checklists, expiry monitoring and audit-ready record keeping for regulated client relationships.

FileMaker ProDocument management

The starting point

Onboarding a new client meant email chains, a shared drive and a checklist nobody could see. Expiring documents were discovered by chance, and preparing for an audit meant reconstructing months of correspondence.

What we built

  • Structured onboarding workflow with role-based tasks and escalation
  • Document checklists with expiry monitoring and advance notification
  • Template-driven document generation with version history
  • Compliance reporting across the whole client book

What it delivers

  • Checklist-driven onboarding with expiry monitoring
  • Document generation and versioning
  • Audit-ready record keeping and reporting

The outcome

No client is activated with a document missing, expiries are caught weeks ahead, and an audit pack becomes a report rather than a project.

Typical modules

Client recordsOnboarding workflowDocument controlExpiry monitoringAudit reporting

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