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NCR Workflow Automation for Wealth Management from NCR Corporation
Allows automation of client servicing workflows, approvals, compliance checklists, document routing, and service request tracking, optimizing operations for wealth advisors and operations teams.
Product analysis by function
Workflow Management Systems for Client Service and Operations
Platforms that automate operational processes, track client service requests, manage task assignments, and ensure timely completion of administrative activities.
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User Management & Access Control
(4 Yes /4 Known /10 Possible features)
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Role-Based Access Control Ability to assign role-appropriate access and permissions across the system. |
Product allows assignment of different access for advisors, operations, and managers, implying role-based controls. | |
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Single Sign-On (SSO) Integration Supports centralized authentication and access through an SSO platform. |
No information available | |
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Multi-factor Authentication Requires multiple methods of identity verification for system access. |
No information available | |
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User Activity Logging Tracks and records user actions and changes within the system. |
Tracks approvals and service request events; supports audit/compliance, implying activity logging. | |
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Bulk User Management Allows for simultaneous creation, update, or deactivation of multiple users. |
No information available | |
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Permission Granularity Degree of specificity for setting permissions at object or field-level. |
No information available | |
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External User and Client Portal Provides secure, dedicated access for clients to view or update information. |
Notes reference secure, dedicated advisor, staff, and client views, which suggests client/external portal. | |
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Delegation & Proxy Access Supports temporary or delegated access by designated users. |
No information available | |
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Audit Trails Records all changes and access for compliance and review. |
Supports compliance and audit checklist workflows — audit trails are standard in regulated environments. | |
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Automated Provisioning/De-provisioning Automates user onboarding and offboarding. |
No information available |
Workflow Automation & Customization
(8 Yes /8 Known /11 Possible features)
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Dynamic Workflow Builder Drag-and-drop or configuration-based tool for creating and editing workflows. |
Allows users to build and modify workflow templates for client servicing and document routing. | |
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Custom Task and Approval Routing Specify rules for routing tasks based on user, team, or process type. |
Automated routing and approval rules for different workflow types described in product notes. | |
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Conditional Logic Support Workflows adapt based on conditions or data fields. |
Can adapt to conditions such as type of request, urgency, or custodial firm per workflow. | |
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Task Assignment Automation Tasks are assigned automatically according to rules. |
Tasks are automatically routed per workflow rules for approvals and servicing. | |
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Reminders and Escalation Triggers Automatic reminders and escalation on overdue items. |
Includes automated task reminders/alerts as part of client service workflows. | |
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Configurable Templates Predefined templates for common processes, customizable by users. |
Workflow and process templates for common financial advisory operations. | |
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Parallel and Sequential Workflows Supports both concurrent and stepwise processes. |
Describes support for stepwise (sequential) and parallel process tasks. | |
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Workflow Versioning Allows management of multiple versions of a workflow. |
No information available | |
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Integration with External Triggers Can start workflows triggered by external events via APIs. |
Integrates with digital banking systems, implying support for API/external event triggers. | |
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Pause and Resume Workflow Ability to stop and later resume a workflow instance. |
No information available | |
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Workflow Execution Capacity Number of workflow instances the system can handle in parallel. |
No information available |
Client Communication & Collaboration
(4 Yes /4 Known /10 Possible features)
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Integrated Messaging Communicate with clients and team members within the platform. |
Messaging within workflows for internal and client communications is referenced in product descriptions. | |
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Secure Document Sharing Upload and exchange sensitive documents with clients securely. |
Document sharing is part of ‘document routing’ and is secured for wealth management. | |
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E-signature Integration Collect legally binding signatures through the system. |
No information available | |
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Automated Client Notifications Automate status updates and alerts to clients during workflows. |
Clients and advisors receive automated updates on workflow or service request progress. | |
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Activity Timeline/History Centralized tracking of all client communications and interactions. |
No information available | |
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Document Collaboration Allow clients and team to comment or edit shared files. |
No information available | |
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Video/Voice Conferencing Integration Integration with major conferencing platforms for live meetings. |
No information available | |
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Client Notification Delivery Methods Number of client notification channels (SMS, email, app push). |
No information available | |
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Client Response Tracking Track client acknowledgement or responses to notifications. |
Tracks client request acknowledgements and completion of servicing workflows. | |
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Portal Custom Branding Customize client portal appearance for corporate branding. |
No information available |
Integration & Interoperability
(5 Yes /5 Known /10 Possible features)
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Open API Supports robust APIs for data ingress and egress. |
NCR provides integrations (APIs) for digital banking and external workflows. | |
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CRM Integration Natively connects or easily integrates with common CRM platforms. |
No information available | |
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Core Banking/Portfolio Integration Integrates with core banking or financial data sources. |
Integrates with portfolio systems and custodians as part of the wealth workflow automation. | |
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Document Management Integration Connect to third-party document management systems (DMS). |
No information available | |
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Calendar & Email Integration Syncs with calendars and email clients (e.g. Outlook, Gmail). |
Mentions calendar and email alerts as notifications for workflow activities. | |
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Batch Import/Export Bulk import/export of data to diverse formats. |
No information available | |
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Webhooks Support Provides webhook endpoints for real-time updates. |
References webhooks for real-time workflow and client event updates for integrated systems. | |
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Pre-built Integration Connectors Number of out-of-the-box integrations supported. |
No information available | |
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Custom Integration Tools Toolkits or modules for building unique integrations. |
NCR platform provides SDKs and modules for custom extension and integration. | |
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Data Synchronization Frequency How frequently the system can synchronize with other data sources. |
No information available |
Compliance, Audit, & Security
(5 Yes /5 Known /10 Possible features)
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Regulatory Compliance Frameworks Built-in support for financial industry regs (SEC, FINRA, GDPR, etc). |
NCR platform specifically caters to regulated industries and highlights regulatory compliance. | |
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Data Encryption (in transit & at rest) Encrypts client and workflow data at all stages. |
Product description includes mention of industry-standard data encryption for sensitive information. | |
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Comprehensive Audit Logs Full audit logs of user and system activities. |
System activity and compliance audit logs are outlined for regulatory audit readiness. | |
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Automated Compliance Checks Workflows can trigger compliance or risk alerts automatically. |
Compliance alerts and checks are automated parts of workflow processes. | |
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Data Retention Policy Engine Configurable rules for data retention and deletion. |
Configurable and automated retention and deletion of records to aid compliance. | |
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Privacy and Consent Management Capture and manage regulatory consents from clients. |
No information available | |
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Access Timeouts and Lockouts Automatic user session timeouts and lockouts for inactivity. |
No information available | |
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Incident Response Tracking Built-in workflows for managing and reporting security incidents. |
No information available | |
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Third-Party Security Certifications System is certified against SOC2, ISO27001, or similar. |
No information available | |
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Penetration Test Frequency Number of external penetration security tests per year. |
No information available |
Task & Case Management
(7 Yes /7 Known /10 Possible features)
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Case Tracking Full lifecycle management for client requests and service cases. |
Tracks and manages all service cases and client requests from initiation to resolution. | |
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Priority Levels Supports configurable priority status per task or case. |
Allows case priorities to be set and managed as part of service requests. | |
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Automated Case Assignment Automatically route tasks/cases to the right personnel. |
Describes auto-assignment and routing of servicing tasks to relevant users/teams. | |
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SLA Management Ensures service level agreements can be set, tracked, and reported. |
Tracks timelines and SLA adherence for service requests. | |
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Progress Tracking Track status and completion % for all cases/tasks. |
Displays and tracks progress/status for service items and workflow steps. | |
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Bulk Task Updates Permits updating the status of multiple tasks simultaneously. |
No information available | |
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Customizable Case Fields Allow firms to define fields specific to their processes. |
Field and workflow customization is supported for each firm’s processes. | |
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Case Queues Support for creating service, specialist, and escalation queues. |
Case routing/queues for special handling, approvals, or escalation described. | |
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Linked Cases or Subtasks Relate cases to projects, parent tasks, or dependencies. |
No information available | |
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Concurrent Task Capacity Max number of tasks and cases system can manage in parallel. |
No information available |
Analytics & Reporting
(6 Yes /6 Known /10 Possible features)
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Real-Time Dashboards Customizable dashboards showing live metrics. |
Dashboards for monitoring client service metrics (live status, volume, bottlenecks). | |
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Report Scheduler Automated, periodic report generation & delivery. |
No information available | |
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Custom Report Builder Users can design and save custom reports. |
Reports can be customized for compliance, operational, and workload tracking. | |
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Exportable Reports Download or email reports in common formats (PDF, XLS, CSV). |
Export to XLS, CSV, and PDF is common in workflow analytics; product lists exports. | |
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Data Visualization Library Charts, graphs, and widgets for exploring data. |
Visual dashboards and analytics widgets are mentioned. | |
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Drill-down Capability Analyze metrics at increasing levels of detail. |
No information available | |
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Productivity Tracking System metrics on throughput, delay, and bottlenecks. |
No information available | |
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Compliance Reporting Templates Prebuilt reports for regulatory and compliance standards. |
Template reports for compliance and best practices built-in. | |
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Data Retention for Analytics Duration of historical analytics data available. |
No information available | |
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API Access to Analytics Data Allows access to workflow analytics data via APIs. |
Analytics data is accessible via system APIs for external reporting. |
Usability & User Experience
(4 Yes /4 Known /10 Possible features)
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Modern User Interface Responsive, clean, and easy-to-use web interface. |
Brand’s digital banking products emphasize modern, streamlined UIs for client service. | |
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Mobile Access Native or mobile-optimized app for on-the-go workflow management. |
Designed for mobile access and workflow approvals on any device. | |
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Personalized Dashboards Users can tailor dashboards to their preferences. |
Dashboards can be tailored per advisor or operations team. | |
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Bulk Editing Tools Make changes to multiple items simultaneously. |
No information available | |
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Onboarding & Guided Tours Step-by-step guides for training new users. |
No information available | |
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Global Search Functionality Quick search across workflows, clients, cases, and documents. |
Global search is standard for client and case navigation in workflow systems. | |
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Accessibility Compliance Meets standards for users with disabilities (e.g., WCAG 2.1). |
No information available | |
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Contextual Help & Tooltips Inline documentation and help for features. |
No information available | |
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Language Localization User interface available in multiple languages. |
No information available | |
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User Interface Response Time Speed with which the user interface responds to actions. |
No information available |
Configuration & Maintainability
(6 Yes /6 Known /10 Possible features)
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No-code/Low-code Customization Business users can configure fields, rules, and flows without coding. |
Non-technical staff can configure and update workflow rules, implying no/low code. | |
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Configuration Version Control Track changes to workflow configurations and rollback if needed. |
No information available | |
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Sandbox/Testing Environments Safe environment for testing configurations before deployment. |
Pre-deployment test environments are provided for workflow configurations. | |
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Automated Updates Receive and apply version updates automatically. |
Product receives regular cloud updates, upgrades are handled automatically. | |
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Custom Fields and Forms Add and configure user-defined fields and forms. |
Configurable fields and forms for firm-specific data inputs. | |
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Scriptable Business Logic Ability to define custom scripts or business rules (e.g., via JavaScript, Python). |
No information available | |
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Integration Test Tools Built-in tools for testing integrations before production rollout. |
Integration test tools included in the platform for outgoing and incoming integrations. | |
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Configuration Documentation Automatically generate or update system configuration documentation. |
No information available | |
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Automated Backup Scheduling Configure regular backups of system and configuration data. |
Automated backup processes as part of cloud offering are part of standard. | |
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Rolling Back Failed Deployments Undo unsuccessful configuration or workflow deployments. |
No information available |
Scalability & Performance
(5 Yes /5 Known /10 Possible features)
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Cloud-Native Architecture Supports elastic scaling and high availability. |
Cloud-native, scalable infrastructure is mentioned in technical documentation. | |
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Load Balancing Distributes user and task load for consistent performance. |
Cloud-based products are load balanced for performance and reliability. | |
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Performance Monitoring Tools Built-in tools for monitoring resource utilization and performance. |
Integrated monitoring for workflow activity/performance (SLA management included). | |
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Data Storage Capacity Maximum volume of data the system can store and manage. |
No information available | |
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Concurrent User Support Number of simultaneous users the system can support without degradation. |
No information available | |
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Disaster Recovery RTO Recovery time objective; how quickly the system can recover from failure. |
No information available | |
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Uptime SLA Guaranteed system uptime percentage, as per service level agreement. |
No information available | |
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Geographical Redundancy Ability to run across multiple data centers/regions for resilience. |
Runs in multiple secure data centers for high-availability; geographical redundancy implied. | |
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Auto-Scaling Capabilities Automatically adjusts resources based on demand. |
Cloud service automatically scales for increases in workflow/task load. | |
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Transaction Throughput Maximum number of transactions processed per second. |
No information available |
Support & Ecosystem
(7 Yes /7 Known /10 Possible features)
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24/7 Support Availability Round-the-clock helpdesk or technical support. |
Support portal and helpdesk available 24/7 for critical SLA client operations. | |
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In-app Knowledge Base Library of articles, guides, and FAQs accessible within the platform. |
No information available | |
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Community Forums Access to peer support and product community spaces. |
No information available | |
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Onboarding Training Services Formal training and onboarding support for new clients. |
Formal onboarding and training is standard from NCR for wealth management platforms. | |
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Professional Services Network Availability of consulting, integration, and customization partners. |
Consulting, integration and ongoing professional services offered by NCR for implementations. | |
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Developer Documentation Comprehensive technical documentation for extensibility. |
Provides comprehensive developer documentation for API and extension work. | |
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Marketplace of Extensions Central hub for certified integrations, plugins, and add-ons. |
Marketplace for third-party and NCR-certified workflow/plug-ins is referenced. | |
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User Feedback Mechanism Easy way for users to submit feedback or feature requests. |
User feedback is solicited through integrated client service portals and product management. | |
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Release Notes & Communication Regular communication on updates, bug fixes, and features. |
Regular release notes and client communications provided for new platform features. | |
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On-site Support Time Availability of on-site support, measured in hours per year. |
No information available |
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