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DealCloud Onboarding & Compliance from DealCloud
Centralizes onboarding workflows for fund and investment management, manages KYC/AML, regulatory data, investor communications, document retention, and integrates with leading compliance tools.
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
(8 Yes /8 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. |
DealCloud Onboarding allows tailoring onboarding steps using workflow configuration for different business lines and client types as described in platform documentation. | |
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Mobile Compatibility System usability and responsiveness on mobile devices. |
DealCloud's UI is browser-based and responsive, making it compatible with mobile devices. | |
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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 platform highlights investor self-service and portal access enabling clients to submit documentation independently. | |
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Real-time Status Tracking Ability for clients and internal teams to track onboarding progress live. |
Notes and documentation emphasize live dashboard status tracking for onboarding and compliance processes. | |
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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. |
Product offers in-context help via documentation and embedded guidance according to support resources. | |
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Dynamic Questionnaires Forms adapt to user responses to simplify data entry. |
Workflows and forms can be made conditional based on prior responses according to DealCloud documentation. | |
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Document Upload Simplification Drag and drop, multi-file, or batch document submission. |
UI includes drag-and-drop for documents and batch submissions per product overview. | |
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Brand Customization Platform displays firm logo, colors, and messaging. |
Custom branding options are mentioned including logo, color, and messaging in admin settings. |
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. |
Bulk document upload is cited as a supported compliance workflow feature. | |
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e-Signature Integration Support for digital signature capture and compliance. |
e-signature through integration with leading providers is promoted as a core onboarding feature. | |
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Smart Document Recognition OCR and auto-tagging for uploaded files. |
Platform provides OCR and auto-tagging capabilities as outlined in compliance and document management use cases. | |
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Data Validation Rules Automatic checking of data completeness and integrity. |
Built-in data integrity and completeness rules are configurable in the workflow engine. | |
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Auto-Population from Existing Data Populate fields with information from other systems or prior interactions. |
Integration with other systems (CRM, document vault) enables auto-population of known data. | |
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Document Expiry Tracking Alert for upcoming or past-due document renewals. |
Expiry and renewal notifications for document deadlines are specifically mentioned as a retention feature. | |
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Progressive Data Collection Ability to save progress and resume onboarding later. |
Users can save and resume onboarding per workflow documentation. | |
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Version Control Track document changes and maintain an audit trail. |
All document changes are tracked with timestamps and audit history per product literature. | |
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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
(9 Yes /9 Known /10 Possible features)
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Automated KYC Checks Systematic validation of identity information. |
Automated KYC processes and third-party data validation are integral to DealCloud’s compliance workflow. | |
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AML Screening Automated screening for anti-money laundering requirements. |
AML checks are managed with automated and configurable screening rules within the compliance modules. | |
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PEP and Sanctions List Screening Checks against politically exposed persons and global sanctions lists. |
PEP and sanctions screening is supported via integration with external list services. | |
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Watchlist Management Management and update of internal and external watchlists. |
Internal and external watchlist management capabilities are part of compliance controls. | |
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Customizable Due Diligence Levels Support different risk tiers and processes by client type. |
Customizable levels of diligence are supported to fit risk tiers and regulations. | |
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Automated Risk Scoring System assigns risk scores based on client responses and documentation. |
Risk scoring engine configured through workflow rules, assigning scores automatically. | |
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Compliance Rule Engine Rules configurable for firm-specific policies and regulatory change. |
Configurable compliance rule engine included to account for policy and regulatory change. | |
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Audit Trail for Compliance Checks Comprehensive logs of all due diligence actions. |
Audit trail for compliance actions is documented as a core feature. | |
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Override/Escalation Process Manual intervention possible for exceptional cases. |
Manual review/escalation workflows supported for exceptions. | |
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Screening Speed Average time required for compliance screening per client. |
No information available |
Suitability & Risk Assessment
(4 Yes /4 Known /9 Possible features)
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Automated Suitability Questionnaire System-driven questions to evaluate client risk profile and suitability. |
Suitability questionnaires can be automated through system-driven forms. | |
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Dynamic Profiling Engine Automatically generates or updates investor profiles based on responses. |
Profiling/segmentation engine automatically updates investor profiles based on onboarding data. | |
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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. |
Suitability report generation is included in compliance record-keeping. | |
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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. |
Periodic suitability reassessment using workflow triggers is mentioned in product specifications. | |
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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. |
Chat and messaging features available, noted as communication options for onboarding. | |
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Task Assignment and Tracking Assign and monitor progress on onboarding activities. |
Task assignment and tracking embedded in workflow engine for onboarding. | |
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Secure File Sharing End-to-end encrypted sharing of sensitive documents and forms. |
Secure file sharing with end-to-end encryption for sensitive documents is a compliance design feature. | |
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Notification Management Automated emails, SMS, or app notifications for status changes and required actions. |
Automated notification management (emails, reminders) supported for both clients and staff. | |
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Shared Client Notes Internal teams can log and share notes related to onboarding. |
Internal shared notes are a documented feature in client files. | |
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Client Meeting Scheduling Incorporate scheduling and calendar integration for onboarding meetings. |
Scheduling and calendar integration with onboarding/meeting workflow available. | |
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Approval Workflow Management Automated routing to required signatories or reviewers. |
Approval workflow is a key automation feature and configurable per organization. | |
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Collaboration History Maintain timeline of all client-related communications and decisions. |
Collaboration and team history logs included in client timelines. | |
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Attachment Size Limit Maximum allowed size for individual file attachments. |
No information available |
Integration & Interoperability
(7 Yes /7 Known /9 Possible features)
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Core System Integration Ability to connect with CRM, fund accounting, portfolio management, and reporting systems. |
Integrates with core CRMs, accounting, portfolio management for data exchange. | |
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AML/KYC Provider Integration Direct connection with third-party data sources to validate client information. |
Direct integration with third-party AML/KYC tools and providers is promoted as part of compliance. | |
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API Availability Support for REST, SOAP, or other application APIs for data exchange. |
API availability for integrations (RESTful APIs) documented in the developer portal. | |
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Data Import/Export Ability to import/export onboarding data in standard formats (CSV, XML, JSON). |
Supports importing/exporting onboarding data via CSV, Excel, and API (JSON/XML). | |
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Single Sign-On (SSO) Integration with enterprise authentication systems for seamless login. |
Single Sign-On (SSO) support confirmed in authentication options. | |
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Real-Time Synchronization Data updates are propagated immediately to other connected systems. |
Platform notes near real-time synchronization of data with 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. |
Custom SDKs and development toolkits are available for bespoke workflow integrations. |
Security & Privacy
(5 Yes /5 Known /9 Possible features)
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Role-Based Access Control Customizable access permissions for staff and client users. |
Role-based permissioning and user access controls well-documented as security measures. | |
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End-to-End Data Encryption Encryption of data at rest and in transit. |
All platform data is encrypted at rest and in transit as standard. | |
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Multi-Factor Authentication Additional authentication steps beyond passwords. |
Multi-factor authentication available for additional 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. |
GDPR and global privacy compliance highlighted; used by EU-regulated firms. | |
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Comprehensive Audit Logging All user actions are logged for security investigation. |
Audit logging for all user and system actions is core to regulatory compliance. | |
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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. |
No information available | |
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Time to Detect Security Incidents Average time to identify security breaches or policy violations. |
No information available |
Operational Efficiency & Automation
(3 Yes /3 Known /9 Possible features)
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Automated Reminders & Escalations System-generated notifications for outstanding tasks. |
Includes automatic reminders and escalation notifications for pending onboarding steps. | |
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Workflow Automation Engine Configurable triggers and actions to move cases automatically. |
Workflow engine supports automatic case routing and case progression. | |
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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. |
Bulk upload and processing of client data and documents are referenced in onboarding and reporting. | |
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Duplicate Detection and Merging System auto-identifies and merges duplicate client records. |
No information available | |
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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
(7 Yes /7 Known /9 Possible features)
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Onboarding Funnel Analytics Visualization of client progress through each stage of onboarding. |
Onboarding funnel analytics and visualizations shown as part of reporting dashboards. | |
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Process Bottleneck Identification Reports highlight steps where delays most frequently occur. |
Process bottlenecks are identified with step-by-step visual analytics. | |
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Compliance & Audit Reporting Automated generation of compliance-related reports. |
Compliance audit reports can be automatically generated and scheduled. | |
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Customizable Dashboards Ability to create personalized analytics visualizations. |
Customizable dashboards available for different user roles and analytics. | |
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Drill-Down Data Exploration Users can drill into any analytics figures for source data. |
Drill-down into analytics and reports for granular data is highlighted. | |
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Scheduled Report Delivery Automated distribution of reports to stakeholders. |
Scheduled report delivery/automated stakeholder reporting included in reporting features. | |
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Exportable Data Sets Data and analytics can be exported for offline downloads. |
Data exports in multiple formats offered for reporting and audit. | |
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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. |
Cloud-native architecture provides load balancing, as per solution architecture documentation. | |
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Elastic Capacity Ability to dynamically scale resources up/down with demand. |
Elastic capacity (auto-scale resources) available through hosted cloud infrastructure. | |
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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 support services offered according to DealCloud support program. | |
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Dedicated Account Manager Personalized support contact for major clients or deployments. |
Dedicated account management provided for enterprise-level clients. | |
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User Training Materials Provision of documentation, videos, or webinars for system users. |
Extensive user documentation, videos, training, and webinars are available. | |
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Release Notes and Update Alerts Communication of new features, bug fixes, and platform changes. |
Release notes and update notifications provided via the platform and email. | |
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Online Knowledge Base Self-serve documentation and troubleshooting guides. |
Online knowledge base and searchable help center available at support.dealcloud.com. | |
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Service Level Agreement (SLA) Contracted commitments to uptime and response times. |
Service Level Agreements (SLAs) offered as part of enterprise deployment 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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