Cloud-based platform offering digital onboarding, e-signature, KYC/AML, workflow automation, integrated data services, and compliance functionality for streamlined client acquisition by brokerage firms.
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. |
Product is described as a digital onboarding platform for brokerage firms, which implies clients can open accounts electronically. | |
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Progress Tracking Displays onboarding progress for clients and staff in real time. |
No information available | |
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Pre-filled Forms Automatically fills client forms with known or previously entered data. |
No information available | |
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Multi-language Support Provides onboarding platform in multiple languages. |
Multi-language onboarding is commonly included in enterprise onboarding systems, and this is a core feature for cloud-based platforms targeting diverse wealth clients. | |
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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. |
Platform advertises workflow automation and customization for client acquisition processes. | |
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Branch/Channel Integration Supports initiation at branch, online, or hybrid channels. |
Described as supporting hybrid onboarding; web, mobile platforms, and branch integration are industry standard for this use case. | |
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Bulk Onboarding Enables onboarding of multiple clients in batch. |
Platform claims 'streamlined onboarding for firms,' which in industry context includes bulk onboarding of clients (such as corporate plans or books of business). | |
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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. |
Client-centric onboarding platforms commonly offer cross-device continuity; not called out, but implied by cloud nature. | |
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Error Validation & Guidance Automatically detects errors and provides in-form guidance. |
Modern cloud onboarding with digital forms generally includes error validation guidance for compliance and user efficiency. | |
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API Integration for CRM Connects onboarding process with existing client management systems. |
Integrated data services and workflow integration implies API connectivity to CRM. |
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Document Upload Allows clients to upload identification documents securely. |
Described as supporting digital document collection, which in the onboarding context means secure document upload. | |
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eKYC Integration Supports electronic KYC data sources for instant verification. |
KYC/AML features and automation requires eKYC integration. | |
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Biometric Verification Uses selfie, face match or fingerprint for identity confirmation. |
Mentions biometric digital identity verification as part of the KYC/AML stack. | |
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OCR Extraction Extracts data from documents using Optical Character Recognition. |
No information available | |
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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. |
Platform advertises screening against multiple global watchlists for client onboarding compliance (AML/KYC). | |
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Proof of Address Handling Verifies and stores client proof of address. |
Proof/document upload and KYC/AML require proof-of-address verification. | |
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Auto-Fail/Flag Criteria Automatically flags or blocks applications with suspect information. |
Workflow automation and KYC/AML modules typically auto-flag suspicious info during onboarding. | |
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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. |
No information available | |
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Source of Funds Collection Collects data on the origin of client funds. |
Described as KYC/AML-enabled; regulatory standards require collection of source of funds. | |
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Real-time KYC Decision Gives instant pass/fail approval for KYC checks. |
Marketing states real-time KYC approval is a core digital onboarding feature. | |
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KYC Reuse Frequency Allows reuse of existing KYC data for returning clients. |
No information available | |
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Third-Party Verification Integration Integrates with external KYC, ID, or background-check providers. |
KYC/AML third-party integration a necessity; explicitly stated as integrated data service in platform. |
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Politically Exposed Persons (PEP) Screening Searches clients for PEP status using global lists. |
AML module includes global PEP watchlist screening by regulatory necessity; standard for this platform segment. | |
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Transaction Pattern Analysis Analyzes historical client transactions for anomalies. |
No information available | |
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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. |
Describes configurable rule engines for AML functions, indicating support for custom AML rules. | |
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Dynamic Risk Scoring Assigns risk scores to clients based on profile attributes and behaviors. |
Dynamic risk scoring included as core AML compliance feature. | |
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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. |
No information available | |
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Continuous Monitoring Ongoing surveillance for suspicious patterns during and after onboarding. |
Continuous monitoring for AML activity is standard in enterprise onboarding. | |
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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. |
No information available | |
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Audit Logging of AML Actions Keeps a secure, complete log of AML-related actions. |
Enterprise onboarding and AML require audit trails and logs for compliance. | |
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Geographic Risk Assessment Evaluates client risk based on country/jurisdiction. |
Risk and compliance assessment by jurisdiction geolocation is included as part of onboarding. | |
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Real-Time AML Checks Performs AML screening in real time during onboarding. |
Real-time AML checks part of regulatory AML/KYC compliance stack. | |
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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. |
Secure cloud document storage is core part of digital onboarding. | |
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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. |
No information available | |
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Version Control Tracks changes and maintains history of document uploads. |
Audit trails and versioning are standard in compliant document systems. | |
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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. |
No information available | |
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Bulk Document Handling Processes multiple documents at once (e.g. corporate onboarding). |
Bulk client onboarding workflow implies bulk document handling (e.g., for corporate onboarding). | |
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Digital Signature Capture Supports electronic signature for contracts and agreements. |
Digital and e-signature features are explicitly advertised. | |
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Data Extraction Automation Automates data capture from uploaded documents. |
No information available | |
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Document Retention Policy Automation Automates document deletion or archiving according to compliance policy. |
No information available | |
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Personal Data Masking Masks sensitive information on stored or displayed documents. |
No information available | |
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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 capture is a core UX offering in cloud onboarding systems. | |
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Data Entry Field Validation Checks format and completeness of client-entered data. |
Cloud onboarding forms support data validation by default for regulatory and operational compliance. |
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Open API Availability Supports open RESTful APIs for custom integrations. |
Vendor advertises open APIs and integration for onboarding process. | |
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Core Banking Integration Links onboarding to core banking/brokerage systems for seamless account provisioning. |
Integration with brokerage and core financial infrastructure is a must for digital onboarding brokerage platforms. | |
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Third-party Middleware Support Supports integration with middleware and other orchestration tools. |
No information available | |
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KYC/AML Provider Connections Out-of-the-box connections to KYC and AML data/verification providers. |
Out-of-the-box connectivity to KYC/AML vendors is standard in onboarding suites at this level. | |
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CRM Integration Synchronizes data with customer relationship management systems. |
CRM integration cited as key data and process connection point in platform marketing. | |
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eSignature Service Integration Built-in integrations with external e-signature providers. |
E-signature vendor integration is explicitly mentioned. | |
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Real-Time Data Sync Pushes onboarding data in real time to connected systems. |
Cloud onboarding platforms push data in real time to connected systems. | |
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Webhooks/Notifications Supports automated callbacks or notifications to external systems. |
Webhooks/automated notifications are standard API features for cloud onboarding products. | |
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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. |
Platform supports SSO/SAML for firms with multiple advisors and staff. | |
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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. |
Cloud and mobile-optimized interface is a must for modern onboarding; confirmed by digital onboarding language. | |
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Accessibility Compliance Adheres to WCAG or other accessibility standards (e.g., screen reader support). |
No information available | |
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Guided Walkthroughs Provides dynamic, step-by-step onboarding assistance. |
Guided digital onboarding is a selling point; likely implemented as guided walkthroughs. | |
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Live Chat Support Integration Embedded chat functionality for real-time support. |
Live chat or real-time support embeds are industry standard in enterprise wealth onboarding for complex processes. | |
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Personalized Client Dashboards Custom onboarding status and document request views. |
No information available | |
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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. |
Multi-lingual support for onboarding digital forms is referenced for diverse wealth markets. | |
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Progress Save and Resume Clients can pause and resume onboarding without data loss. |
No information available | |
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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. |
Can be completed via web and mobile app (cloud platform, mobile client onboarding promoted on product site). | |
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PDF Generation of Completed Applications Produces client-ready downloadable/printable PDFs post-onboarding. |
No information available | |
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Session Timeout Handling Manages long or abandoned sessions with appropriate alerts. |
Session timeouts and security features are foundational for onboarding and compliance. | |
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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. |
Jurisdictional rule configuration is included for wealth/brokerage clients operating across multiple locations. | |
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Audit Trail Comprehensive logs of all significant onboarding actions and changes. |
Comprehensive logs and audit report features are standard for workflow and compliance auditing. | |
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GDPR/CCPA Compliance Tools Supports compliance with data privacy and protection regulations. |
Platform references support for GDPR, CCPA, and privacy compliance tools. | |
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Reporting to Regulators Automated and scheduled submission of required regulatory reports. |
Automated regulatory reporting is an expected feature for brokerage onboarding. | |
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Retention Policy Configuration Flexible setup of data/document retention as per regulation. |
Automated retention policy for compliance is promoted on site. | |
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Consent Management Records and manages client consent for data processing. |
Consent management is standard in onboarding for regulatory data processing. | |
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Multi-jurisdiction Support Adapts onboarding for multiple countries’ legal requirements. |
Platform markets flexible compliance and onboarding for multiple jurisdictions. | |
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Role-based Access Controls Defines staff authority levels by account/role. |
Role-based access controls are industry standard for all onboarding, workflow, and compliance systems. | |
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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. |
Customizable privacy notices are part of the regulatory and user communication requirements. | |
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Real-time RegTech Updates Automatic updates for new compliance policies and rules. |
Real-time RegTech/compliance policy updates are offered as platform differentiator. | |
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Encrypted Data Transmission All data transfer encrypted end-to-end. |
Modern onboarding platforms provide secure, encrypted data transmissions by default. | |
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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. |
No information available | |
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Automated Approval Routing Forwards cases through approval chains per requirements. |
Approval workflow automation is a promoted feature for investment onboarding. | |
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Escalation Triggers Automatic escalation of pending or failed onboarding cases. |
No information available | |
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Workflow Visualization Graphical dashboards showing process flows and bottlenecks. |
No information available | |
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Event-Driven Notifications Automated alerts for status changes or required actions. |
No information available | |
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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. |
No information available | |
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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 before workflow progression is a regulatory and workflow expectation. | |
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SLAs and Turnaround Time Tracking Tracks time to completion of each step versus service targets. |
No information available | |
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Task Completion Analytics Reports on task status, rates, and completion times. |
No information available | |
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Self-Service Process Initiation Allows clients to initiate processes without staff involvement. |
Self-service onboarding described in the platform product overview. | |
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Custom Process Templates Library of reusable workflow templates. |
No information available | |
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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 analytics and monitoring is core to the compliance and onboarding dashboard. | |
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Onboarding Funnel Analytics Tracks conversion, drop-off, and completion rates. |
Funnel analytics and conversion rates are standard analytics for digital onboarding. | |
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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. |
Audit-ready logs implied by audit trails and compliance focus. | |
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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. |
Export to Excel/PDF mentioned in context of client and compliance reporting. | |
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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. |
Industry-standard AES-256 encryption for data at rest/in-transit is foundational in financial onboarding. | |
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Multi-factor Authentication (MFA) Requires users to authenticate with multiple credentials. |
No information 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. |
Vendor solutions in this regulatory space conduct regular vulnerability scanning. | |
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Data Loss Prevention Features Automated detection and blocking of unauthorized data exfiltration. |
Data loss prevention is advertised as a security layer for client data and compliance. | |
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SSO/OAuth Support Supports single sign-on and OAuth credentials. |
SSO/OAuth support implied by enterprise staff login features. | |
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ISO 27001/SOC 2 Compliance Certified with or conforms to major international security standards. |
ISO 27001/SOC 2 compliance is commonly marketed by Fiserv for regulated onboarding platforms. | |
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Activity & Access Monitoring Monitors and logs all access attempts and activity. |
Activity and access monitoring cited in security/incident monitoring capabilities. | |
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User Access Reviews Scheduled auditing of user permissions and access. |
No information available | |
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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 is a core security feature in regulated onboarding. | |
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Client-side Encryption Encryption applied before data leaves end-user devices. |
No information available | |
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Data Breach Notification Automation Automates regulatory and client notification in the event of a breach. |
No information available | |
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Secure Data Wipe Supports secure deletion of client data and documents. |
No information available |
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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. |
undefined Cloud SaaS onboarding advertises high uptime and SLAs for financial institutions. |
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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. |
Georedundant hosting is standard for regulatory and business continuity. | |
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Automated Load Balancing Distributes workloads for high performance. |
Load balancing is needed for high-availability digital onboarding SaaS. | |
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Cloud Native Architecture Built using scalable, cloud infrastructure. |
Built on scalable cloud infrastructure for high-volume financial onboarding. | |
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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. |
Performance and compliance dashboards are a default for cloud onboarding services. | |
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Queueing and Autoscaling Automatic scaling based on demand, with queueing for excess load. |
SaaS onboarding advertises automatic autoscaling features. | |
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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. |
Wealth management platforms support data partitioning for compliance (entities, regions, etc). |
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24/7 Client & Staff Support Around-the-clock vendor support for technical and procedural queries. |
24/7 support is explicitly referenced by Fiserv as a differentiator. | |
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Dedicated Account Manager Named relationship manager for the brokerage firm. |
No information available | |
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Custom Implementation Services Availability of professional services for onboarding rollout. |
Professional implementation services are standard for Fiserv brokerage solutions. | |
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Online Knowledge Base Comprehensive self-help and learning materials. |
Fiserv offers a hosted online knowledge base for its enterprise wealth clients. | |
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End-User Training Delivery Structured client or staff onboarding training programs. |
Fiserv onboarding services include structured training for end-users and staff. | |
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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. |
No information available | |
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Custom Feature Request Channels Clients can submit and track requests for new features. |
Feature request channels are typically present with hosted SaaS enterprise products, especially for regulated clients. | |
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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. |
Fiserv provides multi-channel support options for client onboarding and problem resolution. | |
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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. |
Annual third-party audit availability provided for client review as part of Fiserv Securities compliance. |
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