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Brokerage

Client Onboarding for Trading Accounts

Complexity
High
Timeline
10-14 weeks
Outcomes
4+

Challenge

Complex onboarding process for trading accounts requiring suitability assessments, AML checks, and electronic agreements with high abandonment rates.

Solution

Implement FSC Action Plans with Discovery Framework for standardized digital workflow covering suitability questionnaires, AML/KYC verification, and DocuSign integration for electronic agreements.

Key Outcomes

  • 70% reduction in onboarding time
  • Automated suitability and AML compliance checks
  • Digital agreement execution with full audit trail
  • 85% decrease in onboarding abandonment

Tags

onboardingbrokeragecompliancetradingkyc-aml

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Implementation Timeline

10-14 weeks
High Complexity

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