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Broadridge Client Onboarding from Broadridge Financial Solutions
Offers a fully integrated onboarding solution that safely and quickly collects and validates client data while ensuring adherence to regulatory compliance.
More about Broadridge Financial Solutions
Product analysis by function
Client Onboarding Systems for Client Relationship Management
Digital platforms that streamline the client intake process, including document collection, due diligence, suitability assessment, and account setup while ensuring regulatory compliance.
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User Experience & Interface
(7 Yes /7 Known /10 Possible features)
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Customizable Onboarding Workflows Ability to tailor onboarding steps and screens based on client type or business process. |
Broadridge advertises configurable and fully integrated workflows, implying customizable onboarding steps based on client or process. | |
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Mobile Compatibility System usability and responsiveness on mobile devices. |
Broadridge documentation and solution briefs mention mobile accessibility. | |
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Multi-Language Support Ability to provide onboarding in multiple languages. |
No information available | |
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Self-Service Portal Clients can update or provide onboarding information independently. |
The product offers digital onboarding portals allowing clients to provide or update information. | |
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Real-time Status Tracking Ability for clients and internal teams to track onboarding progress live. |
Broadridge supports real-time onboarding dashboards for internal and client status tracking. | |
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Accessibility Compliance Adherence to standards for users with disabilities (e.g., WCAG). |
No information available | |
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Inline Help and Tooltips Contextual guidance available to users during onboarding. |
No information available | |
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Dynamic Questionnaires Forms adapt to user responses to simplify data entry. |
Broadridge's digital onboarding flows adapt forms based on prior inputs, indicating dynamic questionnaires. | |
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Document Upload Simplification Drag and drop, multi-file, or batch document submission. |
Platform supports batch/drag-and-drop document uploads for user convenience. | |
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Brand Customization Platform displays firm logo, colors, and messaging. |
Clients can brand onboarding portals with logos and firm colors as shown in marketing materials. |
Data Capture & Document Management
(8 Yes /8 Known /10 Possible features)
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Bulk Document Upload Allow clients to submit multiple compliance documents at once. |
Product supports multi-file upload during compliance document submission. | |
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e-Signature Integration Support for digital signature capture and compliance. |
Integration with digital signature providers is listed as a core feature. | |
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Smart Document Recognition OCR and auto-tagging for uploaded files. |
Automated document recognition using OCR is mentioned as part of their digital onboarding suite. | |
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Data Validation Rules Automatic checking of data completeness and integrity. |
Automatic data validation is described as a means to reduce onboarding errors. | |
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Auto-Population from Existing Data Populate fields with information from other systems or prior interactions. |
Auto-population from CRM and fund systems is highlighted as part of seamless onboarding. | |
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Document Expiry Tracking Alert for upcoming or past-due document renewals. |
Document expiry tracking and reminders are part of ongoing compliance capabilities. | |
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Progressive Data Collection Ability to save progress and resume onboarding later. |
Users can save progress and resume onboarding later; described as 'progressive capture.' | |
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Version Control Track document changes and maintain an audit trail. |
Audit trails and version history are available for all client documents. | |
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Upload Speed Average time taken to upload documents. |
No information available | |
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Storage Capacity Maximum data/document storage per client. |
No information available |
Due Diligence & Compliance
(8 Yes /8 Known /10 Possible features)
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Automated KYC Checks Systematic validation of identity information. |
Automated KYC validation is described in the compliance section of the solution page. | |
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AML Screening Automated screening for anti-money laundering requirements. |
AML screening is an explicit feature; integrates with third-party data providers. | |
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PEP and Sanctions List Screening Checks against politically exposed persons and global sanctions lists. |
PEP and sanctions screening checked against global lists. | |
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Watchlist Management Management and update of internal and external watchlists. |
No information available | |
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Customizable Due Diligence Levels Support different risk tiers and processes by client type. |
Compliance levels are configurable by client type and risk tier, as described in solution briefs. | |
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Automated Risk Scoring System assigns risk scores based on client responses and documentation. |
Automated risk scoring available based on input documentation and answers. | |
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Compliance Rule Engine Rules configurable for firm-specific policies and regulatory change. |
Compliance rules engine enables firm-specific and regulatory policy configuration. | |
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Audit Trail for Compliance Checks Comprehensive logs of all due diligence actions. |
Full audit trail for compliance checks is listed as part of regulatory readiness. | |
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Override/Escalation Process Manual intervention possible for exceptional cases. |
Manual overrides and escalations are supported for exceptional compliance scenarios. | |
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Screening Speed Average time required for compliance screening per client. |
No information available |
Suitability & Risk Assessment
(2 Yes /2 Known /9 Possible features)
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Automated Suitability Questionnaire System-driven questions to evaluate client risk profile and suitability. |
Automated questionnaires are integrated for client risk and suitability assessment. | |
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Dynamic Profiling Engine Automatically generates or updates investor profiles based on responses. |
No information available | |
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Scoring Algorithm Transparency Clear documentation on how risk and suitability scores are calculated. |
No information available | |
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Scenario Analysis Tools Model potential investment outcomes with clients during onboarding. |
No information available | |
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Suitability Report Generation Automated creation of suitability documents for record-keeping. |
Automated suitability documentation is generated for compliance records. | |
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Automated Alerts for Policy Breaches Notification if client preferences do not match risk mandates. |
No information available | |
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Periodic Suitability Reassessment Trigger regular re-evaluation based on market or personal changes. |
No information available | |
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Peer Benchmarking Compare client responses to peer groups for context. |
No information available | |
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Time to Complete Assessment Average client time to complete suitability assessment. |
No information available |
Communication & Collaboration
(8 Yes /8 Known /9 Possible features)
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Integrated Messaging Real-time chat or message features within the onboarding platform. |
Broadridge includes secure internal and client messaging for onboarding collaboration. | |
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Task Assignment and Tracking Assign and monitor progress on onboarding activities. |
Activities and onboarding steps can be assigned and tracked in the platform. | |
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Secure File Sharing End-to-end encrypted sharing of sensitive documents and forms. |
Secure file sharing using bank-grade encryption is specified. | |
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Notification Management Automated emails, SMS, or app notifications for status changes and required actions. |
Automated email and SMS notifications are customizable for status changes. | |
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Shared Client Notes Internal teams can log and share notes related to onboarding. |
Client and internal notes can be logged and shared on the platform. | |
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Client Meeting Scheduling Incorporate scheduling and calendar integration for onboarding meetings. |
Scheduling and calendar tools are integrated for onboarding events. | |
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Approval Workflow Management Automated routing to required signatories or reviewers. |
Approval workflows are configurable and tracked electronically. | |
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Collaboration History Maintain timeline of all client-related communications and decisions. |
All communications and tasks are logged for historical review, indicating collaboration history. | |
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Attachment Size Limit Maximum allowed size for individual file attachments. |
No information available |
Integration & Interoperability
(6 Yes /6 Known /9 Possible features)
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Core System Integration Ability to connect with CRM, fund accounting, portfolio management, and reporting systems. |
Native integration available with major CRMs and fund platforms, as described in solution resources. | |
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AML/KYC Provider Integration Direct connection with third-party data sources to validate client information. |
Direct integration with major AML/KYC data providers (Refinitiv, LexisNexis, etc.). | |
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API Availability Support for REST, SOAP, or other application APIs for data exchange. |
APIs available for REST data exchange, as noted in technical documentation. | |
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Data Import/Export Ability to import/export onboarding data in standard formats (CSV, XML, JSON). |
Supports import/export of onboarding data in standard file formats. | |
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Single Sign-On (SSO) Integration with enterprise authentication systems for seamless login. |
Supports SSO with enterprise authentication (SAML, OAuth). | |
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Real-Time Synchronization Data updates are propagated immediately to other connected systems. |
Updates are synced in real time across connected systems. | |
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Integration Speed Average time required to integrate with a new system using APIs. |
No information available | |
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Number of Supported Integrations Count of external systems the platform can connect with natively. |
No information available | |
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Custom Integration Toolkit Provision of SDKs or tools for custom workflow integration. |
No information available |
Security & Privacy
(6 Yes /6 Known /9 Possible features)
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Role-Based Access Control Customizable access permissions for staff and client users. |
Role-based permissions featured for internal and external users. | |
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End-to-End Data Encryption Encryption of data at rest and in transit. |
End-to-end encryption detailed in Broadridge security whitepapers. | |
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Multi-Factor Authentication Additional authentication steps beyond passwords. |
Supports MFA for increased platform security. | |
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Data Residency Options Ability to specify or limit where client data are stored geographically. |
No information available | |
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GDPR and Data Protection Compliance Meets requirements for Europe and/or applicable global standards. |
Product advertises GDPR and global data protection compliance. | |
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Comprehensive Audit Logging All user actions are logged for security investigation. |
Comprehensive audit logging specified in their compliance materials. | |
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Regular Penetration Testing Scheduled vulnerability assessments and remediation. |
No information available | |
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Data Retention Policy Controls Ability to set and enforce data deletion rules. |
Data retention and deletion rules are configurable by clients. | |
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Time to Detect Security Incidents Average time to identify security breaches or policy violations. |
No information available |
Operational Efficiency & Automation
(4 Yes /4 Known /9 Possible features)
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Automated Reminders & Escalations System-generated notifications for outstanding tasks. |
Automated reminders for outstanding onboarding tasks are highlighted. | |
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Workflow Automation Engine Configurable triggers and actions to move cases automatically. |
Workflow automation with triggers and rules for moving onboarding cases. | |
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Robotic Process Automation (RPA) Integration Integration with bots for repetitive, rules-based tasks. |
No information available | |
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Bulk Client Processing Onboard multiple clients simultaneously using batch operations. |
Can onboard clients in bulk through batch processing. | |
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Duplicate Detection and Merging System auto-identifies and merges duplicate client records. |
Duplicate detection and merging is available to maintain data quality. | |
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Approval Turnaround Time Average elapsed time for onboarding approval steps. |
No information available | |
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Average Onboarding Completion Time Mean time from start to finish for new client onboarding. |
No information available | |
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Task Automation Rate Percentage of onboarding steps handled without manual intervention. |
No information available | |
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Error Reduction Rate Percent decrease in errors due to automation. |
No information available |
Reporting & Analytics
(5 Yes /5 Known /9 Possible features)
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Onboarding Funnel Analytics Visualization of client progress through each stage of onboarding. |
Provides visualization of onboarding funnel and client progress through each stage. | |
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Process Bottleneck Identification Reports highlight steps where delays most frequently occur. |
Reports are available to identify workflow bottlenecks. | |
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Compliance & Audit Reporting Automated generation of compliance-related reports. |
Automated compliance and audit reports are part of product's reporting suite. | |
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Customizable Dashboards Ability to create personalized analytics visualizations. |
Customizable dashboards described in analytics demo materials. | |
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Drill-Down Data Exploration Users can drill into any analytics figures for source data. |
No information available | |
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Scheduled Report Delivery Automated distribution of reports to stakeholders. |
No information available | |
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Exportable Data Sets Data and analytics can be exported for offline downloads. |
Data, including analytics, can be exported for offline use. | |
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Average Report Generation Time Typical time to produce a standard onboarding report. |
No information available | |
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Number of Available Reports Total templates or types of onboarding/process reports provided. |
No information available |
Scalability & Performance
(2 Yes /2 Known /8 Possible features)
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Concurrent User Capacity Maximum number of active users supported at once. |
No information available | |
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Onboarding Volume Throughput Number of onboarding requests processed per day. |
No information available | |
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System Uptime SLA Guaranteed minimum system availability. |
No information available | |
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Disaster Recovery RTO Recovery time objective after a catastrophic event. |
No information available | |
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Load Balancing Automatic distribution of processing tasks to optimize resource use and performance. |
Platform includes load balancing capabilities as part of its enterprise hosting. | |
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Elastic Capacity Ability to dynamically scale resources up/down with demand. |
Cloud hosting with auto-scaling for peak onboarding periods. | |
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API Request Rate Limit Maximum number of API requests supported per second. |
No information available | |
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Latency on Peak Load System response time under maximum usage conditions. |
No information available |
Support & Maintenance
(6 Yes /6 Known /8 Possible features)
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24/7 Support Availability Round-the-clock technical and user support options. |
24/7 user and technical support available per solution page. | |
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Dedicated Account Manager Personalized support contact for major clients or deployments. |
Option for dedicated account manager for large clients. | |
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User Training Materials Provision of documentation, videos, or webinars for system users. |
Product support page includes guides, videos, and training webinars. | |
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Release Notes and Update Alerts Communication of new features, bug fixes, and platform changes. |
Release notes and update notifications are distributed to administrators. | |
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Online Knowledge Base Self-serve documentation and troubleshooting guides. |
Online knowledge base exists for Broadridge solutions. | |
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Service Level Agreement (SLA) Contracted commitments to uptime and response times. |
SLAs are published and available upon request as part of enterprise contracts. | |
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Average Support Response Time Mean time to respond to support queries. |
No information available | |
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Patch/Upgrade Frequency Average frequency of updates, patches, or releases. |
No information available |
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