A configurable, whitelabeled onboarding system for broker-dealers and RIAs. Compliance configures every flow without engineering. Clients move through a guided wizard. Reviewers approve, request info, or reject from a single workbench. Every action is recorded as immutable audit evidence.
Compliance configures the document set, form questions, conditional logic, KYC, tax forms, and eSign templates per client type — without engineering.
Nine-step wizard for Pro Traders, Hedge Funds, and Intro Broker-Dealers. AI-prefilled, in-browser KYC, inline eSign, no paper.
Individual, joint (5 variants), UGMA, IRA. Dynamic step sequence — joint adds co-applicant, community-property adds spousal consent, UGMA adds minor info.
Live queue counts, filterable applications table, slide-out applicant detail drawer. Approve / Reject / Request Info — every action signed and audit-logged.
Same Compliance Dashboard surface, with approve/reject actions hidden. Ops staff monitor queue health and SLAs without principal authority.
Every stop on the pipeline, the regulatory basis for each, the audit-trail evidence the system records, and the whitelabel matrix. Suitable for compliance handoff.