Compliance and risk · Live demo
Adviser file compliance checker
Checks any client file against the firm's file standards when an adviser asks, lists what's missing and sends the client the forms to fix it.
Talk to Olivia at Quillbrook Wealth Partners
Quillbrook Wealth Partners is made up. Olivia is a real agent, set up the way we would set one up for your team. Talk or type and ask what your staff would ask.
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The problem
Out-of-date risk profiles and unsigned policy statements usually turn up in an audit, long after the meeting where they should have been fixed. Advisers don't have time to check every file before every review.
How it works
- Reads the client file from the CRM and document store
- Checks it against the firm's file standards: agreement, disclosures, risk profile age, investment policy statement, review notes and rollover records
- Tells the adviser in plain words what's missing and when it's due
- Sends the client the right form through the portal when the adviser asks
- Shows anything compliance has already flagged on that adviser's clients
What it connects to
- Anjali (senior adviser)Is Sunita Bhat's file ready for her review on Thursday?
- AgentNearly. Her risk profile is 26 months old, so it's past the 24-month limit, and her investment policy statement hasn't been re-signed since she moved to the Growth model. Everything else is in place.
- Anjali (senior adviser)Send her the risk questionnaire, please.
- AgentDone. It's in her client portal with a note that it's for Thursday. The investment policy statement is queued for e-signature once you approve it.
- Anjali (senior adviser)Anything else on my clients I should know about?
- AgentOne. Victor Lang's rollover last year has the fee comparison on file but no best interest reasons. Kevin Marsh has flagged it and needs your notes by Friday.
Illustrative conversation. Names, numbers and details are made up.
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