New Account Workflows

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The tools are engineered to help clients simplify and streamline the processes associated with bringing in new accounts, including intelligent workflows and approval processes that also automate associated reporting, compliance, committee roles and audit/exam support.

Embedded in the workflow is the ability for your documents, forms and agreements to be rendered and archived with the new account, as well as integration of follow up ticklers and messaging.  These tools follow best-practice procedures and workflows from organizations using CapitalBase.com portal tools, yet provide for high levels of flexibility & customization for your new account processes. 

For clients following a Middle Office strategy, these workflows are also designed to be begun by the business development officer, then completed in-sequence as need be by an account administrator, tax department, investment management area and then fulfilled by the middle office group that is setting up the account & receiving the assets, with automated messaging to the involved parties in the sale and support of the new account. 

Supplemental workflows for institutional accounts are also available including Corporate Trust Bond Issuance workflows and Employee Benefits processes.  

Key Business Functions & Features

• Fee Discount Approval/Renewal Workflow

• Unique Asset Approval Workflow

• CIP/OFAC/Source of Funding Compliance

• Formal Account Acceptance Workflow

• Document Checklists and Forms/Agreements Pre-fills

• Document Approval/Archival & Missing Item Ticklers

• Client Due Diligence and Initial Review Automation

• Acceptance Committee Reporting Automation