An onboarding management solution that automates the onboarding process across various financial services, ensuring compliance and operational efficiency with real-time tracking and management tools.
Digital platforms streamlining the account opening process, including KYC (Know Your Customer), AML (Anti-Money Laundering) checks, and documentation management.
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Digital Account Application Allows clients to open accounts electronically through web or mobile platforms. |
SmartStream Onboarding allows digital account application as onboarding is managed electronically via web interfaces for both clients and staff. The solution is marketed as digital and paperless. | |
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Progress Tracking Displays onboarding progress for clients and staff in real time. |
The product highlights real-time tracking and management tools, which implies progress tracking for onboarding cases. | |
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Pre-filled Forms Automatically fills client forms with known or previously entered data. |
SmartStream's onboarding documentation states support for automation, including pre-filling of forms using already available or reference data. | |
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Multi-language Support Provides onboarding platform in multiple languages. |
No information available | |
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Multi-currency Support Supports accounts across various currencies. |
No information available | |
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Customizable Workflows Allows configuration of onboarding steps and requirements per client type. |
Product offering highlights configurable workflows to adapt steps and requirements to client types and policies. | |
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Branch/Channel Integration Supports initiation at branch, online, or hybrid channels. |
Product is positioned as omnichannel, with engagement both online and via branches or hybrid channels. | |
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Bulk Onboarding Enables onboarding of multiple clients in batch. |
Batch/bulk onboarding is referenced in SmartStream's solution documentation for handling institutional/corporate onboarding. | |
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Onboarding Time Average time to complete an account opening process. |
No information available | |
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Account Types Supported Different types of client accounts supported (e.g., individuals, corporates, trusts). |
No information available | |
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Referral Tracking Tracks referral sources and incentives in onboarding. |
No information available | |
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Cross-device Continuity Clients can start onboarding on one device and resume on another. |
Marketing states onboarding can be started remotely and resumed in-person or vice versa, demonstrating cross-device continuity. | |
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Error Validation & Guidance Automatically detects errors and provides in-form guidance. |
Documentation refers to error detection and guided issue resolution during onboarding. | |
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API Integration for CRM Connects onboarding process with existing client management systems. |
API integration with CRM and core platforms is listed in architectural overview documentation. |
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Document Upload Allows clients to upload identification documents securely. |
Document upload is referenced as a key KYC step in the onboarding workflow. | |
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eKYC Integration Supports electronic KYC data sources for instant verification. |
Product supports eKYC integration for real-time verification using external databases according to solution literature. | |
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Biometric Verification Uses selfie, face match or fingerprint for identity confirmation. |
No information available | |
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OCR Extraction Extracts data from documents using Optical Character Recognition. |
OCR extraction is mentioned for automated data entry from submitted identity documents. | |
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Video KYC Supports client interviews or ID validation through video chat. |
No information available | |
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Sanctions & Watchlist Screening Screens client against global blacklists, sanctions and PEP lists. |
SmartStream includes watchlist and sanctions screening as part of the onboarding KYC module. | |
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Proof of Address Handling Verifies and stores client proof of address. |
No information available | |
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Auto-Fail/Flag Criteria Automatically flags or blocks applications with suspect information. |
The onboarding system will auto-flag and block applications with inconsistent or suspicious responses according to documentation. | |
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Name Matching Quality Level of accuracy in matching client names to watchlists. |
No information available | |
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Age Verification Checks client meets minimum age requirements. |
Age checks are part of basic KYC flow as described in product materials. | |
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Source of Funds Collection Collects data on the origin of client funds. |
No information available | |
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Real-time KYC Decision Gives instant pass/fail approval for KYC checks. |
Real-time KYC decision logic—pass/fail—is emphasized in promotional materials. | |
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KYC Reuse Frequency Allows reuse of existing KYC data for returning clients. |
Returning clients can be onboarded using prior KYC data to reduce friction. | |
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Third-Party Verification Integration Integrates with external KYC, ID, or background-check providers. |
SmartStream advertises extensive third-party integrations for identity, KYC, and data providers. |
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Politically Exposed Persons (PEP) Screening Searches clients for PEP status using global lists. |
PEP (politically exposed persons) check is a standard SmartStream KYC/AML feature. | |
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Transaction Pattern Analysis Analyzes historical client transactions for anomalies. |
Transaction pattern analysis is part of SmartStream's AML review and monitoring for onboarding clients. | |
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Adverse Media Screening Checks clients against negative media databases. |
No information available | |
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Custom AML Rules Engine Supports creation and management of custom AML rules. |
No information available | |
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Dynamic Risk Scoring Assigns risk scores to clients based on profile attributes and behaviors. |
Dynamic risk scoring is outlined in AML product briefing sheets and adapts based on client behavior. | |
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False Positive Rate The proportion of alerts triggered in error by AML screening. |
No information available | |
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Automated Suspicious Activity Report (SAR) Filing Generates and submits SARs automatically for relevant cases. |
Suspicious activity report (SAR) generation and workflow automation included. | |
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Continuous Monitoring Ongoing surveillance for suspicious patterns during and after onboarding. |
Continuous AML monitoring listed as a feature in technical specifications. | |
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Regulatory Database Updates Frequency of updates to sanction, PEP, and watchlist sources. |
No information available | |
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Alert Escalation Workflow Automated workflows for timely escalation of AML alerts. |
Alert escalation workflow described for compliance requirements. | |
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Audit Logging of AML Actions Keeps a secure, complete log of AML-related actions. |
Comprehensive AML action audit logs offered for traceability. | |
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Geographic Risk Assessment Evaluates client risk based on country/jurisdiction. |
Geographic risk scoring highlighted for onboarding international clients. | |
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Real-Time AML Checks Performs AML screening in real time during onboarding. |
Real-time AML checks included as standard in onboarding. | |
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AML Screening Coverage Number of countries/jurisdictions covered by AML screening. |
No information available |
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Secure Document Storage Stores client documents in secure, encrypted databases. |
Product emphasizes secure storage of all client documents. | |
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Drag-and-Drop Upload Allows clients to easily upload required documentation. |
No information available | |
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Document Format Support Accepts a wide range of file types and sizes. |
Documentation states support for various file types and format flexibility. | |
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Version Control Tracks changes and maintains history of document uploads. |
No information available | |
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Automated Document Expiry Alerts Notifies staff or clients when documents are out-of-date. |
No information available | |
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In-Platform Documentation Checklist Guides clients to provide required documents for their account type. |
System provides in-platform pointers for document completion by account type. | |
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Bulk Document Handling Processes multiple documents at once (e.g. corporate onboarding). |
Corporate/bulk onboarding documentation confirms bulk document handling. | |
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Digital Signature Capture Supports electronic signature for contracts and agreements. |
Digital signature capture listed among features for contracts and agreements. | |
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Data Extraction Automation Automates data capture from uploaded documents. |
Described as data extraction/automation from document upload. | |
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Document Retention Policy Automation Automates document deletion or archiving according to compliance policy. |
Retention policy automation for regulatory compliance listed. | |
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Personal Data Masking Masks sensitive information on stored or displayed documents. |
Data masking of sensitive personal information is described in compliance controls. | |
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Document Validation Rate Proportion of documents automatically validated by the system. |
No information available | |
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Mobile Document Capture Enables document upload via mobile camera with cropping and enhancement. |
Mobile document upload and capture using camera is mentioned as supported option. | |
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Data Entry Field Validation Checks format and completeness of client-entered data. |
Field validation for client-entered data is a component of guided onboarding. |
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Open API Availability Supports open RESTful APIs for custom integrations. |
REST APIs/open API for custom integrations are covered in developer technical literature. | |
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Core Banking Integration Links onboarding to core banking/brokerage systems for seamless account provisioning. |
Integration with core banking and brokerage back-ends is a design focus of the solution. | |
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Third-party Middleware Support Supports integration with middleware and other orchestration tools. |
Middleware and orchestration integration is mentioned in product briefings for large institutions. | |
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KYC/AML Provider Connections Out-of-the-box connections to KYC and AML data/verification providers. |
Product lists connections for KYC and AML data providers as out-of-the-box. | |
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CRM Integration Synchronizes data with customer relationship management systems. |
CRM integration is highlighted for onboarding process efficiency. | |
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eSignature Service Integration Built-in integrations with external e-signature providers. |
Integration with external e-signature providers is supported. | |
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Real-Time Data Sync Pushes onboarding data in real time to connected systems. |
Data synchronization to connected systems is described as real-time in the integration features. | |
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Webhooks/Notifications Supports automated callbacks or notifications to external systems. |
. | No information available |
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SCIM/Directory Integration Supports enterprise identity directories for user sync and SSO. |
. | No information available |
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SSO/SAML Authentication Enables single sign-on for advisors and staff. |
. | No information available |
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Data Import/Export Tools Allows bulk migration into/out of the onboarding system. |
. | No information available |
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Custom Web Portal Widgets Embeddable onboarding components into external portals. |
. | No information available |
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Integration Throughput Number of API calls or integration operations supported per second. |
. | No information available |
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Event-Driven Workflow Triggers Support for automating workflows based on system events. |
. | No information available |
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Responsive Web Design Optimized for desktop, tablet, and smartphone viewing. |
The UI is responsive for desktop, tablet, and mobile use—explicitly stated in solution design. | |
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Accessibility Compliance Adheres to WCAG or other accessibility standards (e.g., screen reader support). |
Product states compliance with accessibility requirements (e.g., WCAG). | |
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Guided Walkthroughs Provides dynamic, step-by-step onboarding assistance. |
No information available | |
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Live Chat Support Integration Embedded chat functionality for real-time support. |
SmartStream supports live chat/chatbot integration for assistance. | |
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Personalized Client Dashboards Custom onboarding status and document request views. |
Personalized, real-time dashboards are available for both client and staff use. | |
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Task Reminders Automated onboarding reminders via email/SMS/in-app alerts. |
No information available | |
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Satisfaction Feedback Collection Built-in tools to survey client experience and collect feedback. |
No information available | |
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Multi-Lingual Forms Forms available in several languages for client comfort. |
No information available | |
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Progress Save and Resume Clients can pause and resume onboarding without data loss. |
Progress save/resume is user experience functionality supported as per onboarding process design. | |
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Average User Steps to Completion Average number of screens/entries required for onboarding completion. |
. | No information available |
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Mobile App Availability Onboarding can be completed through a iOS/Android app. |
Mobile app onboarding is supported according to product materials and UI screenshots. | |
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PDF Generation of Completed Applications Produces client-ready downloadable/printable PDFs post-onboarding. |
PDF generation of completed applications is referenced in user documentation. | |
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Session Timeout Handling Manages long or abandoned sessions with appropriate alerts. |
. | No information available |
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Dark Mode User interface supports dark/light visual themes. |
. | No information available |
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Regulatory Rule Engine Configurable logic for jurisdiction-specific account opening requirements. |
. | No information available |
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Audit Trail Comprehensive logs of all significant onboarding actions and changes. |
. | No information available |
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GDPR/CCPA Compliance Tools Supports compliance with data privacy and protection regulations. |
GDPR/CCPA compliance is required and referenced explicitly in SmartStream compliance documentation. | |
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Reporting to Regulators Automated and scheduled submission of required regulatory reports. |
. | No information available |
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Retention Policy Configuration Flexible setup of data/document retention as per regulation. |
. | No information available |
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Consent Management Records and manages client consent for data processing. |
Consent and privacy notice management are built in for regulatory compliance. | |
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Multi-jurisdiction Support Adapts onboarding for multiple countries’ legal requirements. |
Product supports multiple legal jurisdictions and can be configured for country-specific rules. | |
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Role-based Access Controls Defines staff authority levels by account/role. |
Staff roles and account-level authority are configurable. | |
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Sanctions List Auto-Update Frequency Frequency of automatic updates for regulatory lists. |
. | No information available |
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Privacy Notice Customization Allows custom messaging and documentation of privacy policies. |
. | No information available |
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Real-time RegTech Updates Automatic updates for new compliance policies and rules. |
. | No information available |
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Encrypted Data Transmission All data transfer encrypted end-to-end. |
End-to-end data encryption of all data transfers is stated in the security documentation. | |
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Compliance Dashboard Centralized overview of ongoing compliance metrics/status. |
. | No information available |
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Exception Management Workflows for managing regulatory exceptions and overrides. |
. | No information available |
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Rule-based Task Assignment Automatically assigns onboarding steps to staff based on logic. |
Rules-based task assignment and approval routing are prominent workflow features. | |
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Automated Approval Routing Forwards cases through approval chains per requirements. |
Automated approval routing for escalations and multilevel sign-offs is supported. | |
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Escalation Triggers Automatic escalation of pending or failed onboarding cases. |
Escalation triggers in place for stalled, incomplete, or failed onboarding workflows. | |
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Workflow Visualization Graphical dashboards showing process flows and bottlenecks. |
Graphical workflow visualization dashboards are available for monitoring. | |
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Event-Driven Notifications Automated alerts for status changes or required actions. |
Event-driven system status alerts and notifications are built-in. | |
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Bulk Processing Capacity Maximum number of onboarding cases handled simultaneously. |
. | No information available |
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Custom Task Types Ability to introduce new types or categories of onboarding work. |
Custom task types and onboarding process personalization mentioned in configuration features. | |
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Parallel Task Execution Supports concurrent processing of independent tasks. |
. | No information available |
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Automated Data Validation Checks data for accuracy before moving to the next step. |
Automated data validation is referenced as part of each onboarding step. | |
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SLAs and Turnaround Time Tracking Tracks time to completion of each step versus service targets. |
SLAs for onboarding and analytics of time to completion are available. | |
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Task Completion Analytics Reports on task status, rates, and completion times. |
Task and process completion rates and analytics are offered on dashboards. | |
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Self-Service Process Initiation Allows clients to initiate processes without staff involvement. |
Clients can begin onboarding processes without staff intervention. | |
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Custom Process Templates Library of reusable workflow templates. |
Process template customization is available for frequent onboarding scenarios. | |
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Process Exception Handling Rate Proportion of tasks completed with human intervention. |
. | No information available |
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Real-time Reporting Instant access to live onboarding metrics. |
Real-time reporting dashboards are available as part of management tools. | |
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Onboarding Funnel Analytics Tracks conversion, drop-off, and completion rates. |
Onboarding funnel analytics (conversion, drop-off, etc.) are tracked and reportable. | |
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Custom BI Report Builder Drag-and-drop/dashboard-style report and analytics builder. |
. | No information available |
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Audit-Ready Logs Maintains audit logs for all major actions/events. |
. | No information available |
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Automated Exception Reports Scheduled exception/outlier detection and reporting. |
. | No information available |
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Export to Excel/CSV/PDF Exports all analytics and records to standard formats. |
Users can export data and analytics in all major standard formats. | |
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Alert Threshold Customization Set custom thresholds for real-time alerts or reports. |
. | No information available |
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Historical Data Retention Duration Period for which analytics data is stored for review/reporting. |
. | No information available |
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Custom Dashboard Widgets Configurable widgets to add/remove analytics on dashboards. |
. | No information available |
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Automated Compliance Reporting Generates regulatory reports automatically from onboarding data. |
. | No information available |
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Team Performance Metrics Compares staff/team onboarding rates and efficiency. |
. | No information available |
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Conversion Rate Tracking Tracks percentage of started-to-completed onboardings. |
. | No information available |
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Time to Approval Measures average time from submission to approval. |
. | No information available |
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Error/Issue Logging Automatically logs operational issues or errors for review. |
. | No information available |
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AES-256 Encryption Industry-standard encryption for data at rest and in transit. |
AES-256 encryption is referenced as minimum standard for data security. | |
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Multi-factor Authentication (MFA) Requires users to authenticate with multiple credentials. |
Multi-factor authentication for user accounts is available. | |
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Penetration Testing Frequency Frequency of external independent penetration test audits. |
. | No information available |
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Vulnerability Scanning Regular scans for known vulnerabilities in the application. |
Continuous vulnerability scanning is stated as a part of security monitoring. | |
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Data Loss Prevention Features Automated detection and blocking of unauthorized data exfiltration. |
Data loss prevention and monitoring features are referenced for compliance purposes. | |
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SSO/OAuth Support Supports single sign-on and OAuth credentials. |
. | No information available |
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ISO 27001/SOC 2 Compliance Certified with or conforms to major international security standards. |
SmartStream Onboarding is ISO 27001 certified according to public compliance disclosures. | |
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Activity & Access Monitoring Monitors and logs all access attempts and activity. |
Access and activity logging is standard. | |
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User Access Reviews Scheduled auditing of user permissions and access. |
Regular access reviews are available for user authorization controls. | |
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Secure Download/Print Controls Restricts and audits downloads or prints of sensitive documents. |
. | No information available |
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Field-level Data Encryption Sensitive fields (e.g., SSN, passport number) encrypted individually. |
Field-level encryption available according to technical security overview. | |
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Client-side Encryption Encryption applied before data leaves end-user devices. |
Client-side encryption is referenced as part of defense-in-depth best practices. | |
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Data Breach Notification Automation Automates regulatory and client notification in the event of a breach. |
Automated notifications for breaches and incidents described in compliance documentation. | |
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Secure Data Wipe Supports secure deletion of client data and documents. |
Secure deletion/wipe of client and sensitive data upon request or policy expiry is supported. |
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Concurrent User Capacity Maximum number of users supported at once. |
. | No information available |
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System Uptime SLA Guaranteed percentage of system operational time. |
. | No information available |
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Onboarding Throughput Number of onboarding applications processed per hour. |
. | No information available |
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Geographically Redundant Hosting Supports data center redundancy in multiple regions. |
. | No information available |
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Automated Load Balancing Distributes workloads for high performance. |
. | No information available |
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Cloud Native Architecture Built using scalable, cloud infrastructure. |
SmartStream's documentation frequently references modern, cloud-native deployment. | |
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Zero Downtime Maintenance Capability Upgrades and patches without taking platform offline. |
. | No information available |
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Performance Monitoring Dashboards Live metrics such as response time and error rates. |
. | No information available |
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Queueing and Autoscaling Automatic scaling based on demand, with queueing for excess load. |
Autoscaling is available to support high-volume onboarding activity. | |
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Disaster Recovery RTO/RPO Maximum Recovery Time/Point Objectives after a disaster. |
. | No information available |
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API Rate Limiting Configurable limits for external integrations to maintain performance. |
. | No information available |
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Processing Latency Average time to process a single onboarding application. |
. | No information available |
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Outage Notification Speed Time taken to notify stakeholders of platform outages. |
. | No information available |
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Data Partitioning/Segmentation Allows isolation of data for business lines or legal entities. |
. | No information available |
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24/7 Client & Staff Support Around-the-clock vendor support for technical and procedural queries. |
24/7 support referenced as available for enterprise customers. | |
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Dedicated Account Manager Named relationship manager for the brokerage firm. |
Dedicated account manager assigned to enterprise customers according to service documentation. | |
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Custom Implementation Services Availability of professional services for onboarding rollout. |
Custom implementation and onboarding consulting are available from SmartStream customer success org. | |
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Online Knowledge Base Comprehensive self-help and learning materials. |
Online knowledge base and self-guided training provided for onboarding users and staff. | |
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End-User Training Delivery Structured client or staff onboarding training programs. |
SmartStream offers structured end-user training as part of the onboarding project. | |
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SLA for Incident Resolution Guaranteed maximum vendor response times for incidents. |
. | No information available |
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Product Update Roadmap Published and transparent release roadmap for clients. |
Product development and roadmap are shared with enterprise onboarding customers. | |
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Custom Feature Request Channels Clients can submit and track requests for new features. |
. | No information available |
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Release Notes & Changelog Access Proactive communication of new/enhanced features. |
. | No information available |
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Service Health Monitoring Portal Live status and incident tracking for the platform. |
. | No information available |
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Escalation Matrix for Support Documented escalation path for unresolved support issues. |
. | No information available |
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Multi-Channel Support (email/phone/chat) Support delivered over several communication channels. |
Phone, chat, and email are all supported for SmartStream onboarding customers. | |
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Annual Review Meetings Scheduled business/technical review with vendor. |
. | No information available |
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Third-Party Audit Availability Audit reports and certifications available to clients. |
. | No information available |
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