Client Onboarding with AI

Overview

Client onboarding in the financial services industry is often a fragmented, manual process involving multiple teams, disconnected systems, and heavy reliance on email for communication. Analysts must re-enter client and portfolio information across platforms due to the lack of integration with systems like Salesforce, increasing errors and reducing efficiency.

Document handling is equally problematic. Without a centralized system, it's difficult to track submission status, verify version accuracy, or ensure completeness. Compliance reviewers frequently deal with incomplete or inconsistent documentation, which causes delays and manual rework.

Workflows are often unclear, with limited task routing or notifications, leading to confusion and process bottlenecks. Communication silos further reduce transparency, and there's no consolidated dashboard for managers to monitor onboarding progress, escalate issues, or generate reports. Revisions are also difficult to track, raising concerns over data integrity and audit readiness.

This project addresses these issues by delivering an Appian-based solution that streamlines onboarding through guided workflows, integrations, centralized document management, revision tracking, and end-to-end visibility. It improves collaboration, reduces manual effort, and ensures a fully auditable, efficient onboarding lifecycle.

Key Features & Functionality

Client & Portfolio Onboarding

• Create and manage clients along with associated portfolios.
• Group clients by enterprise or corporate structure for easier tracking. 
• Track onboarding progress and status per client/portfolio.

Document Management

• Upload, preview, and version KYC and compliance documents.
• Organize documents in intuitive folders by client and portfolio.

Compliance Review Workflow

• Allow reviewers to approve, reject, or request updates to documentation.
• Provide embedded previews, audit trails, and commenting.

Revisions Module

• Separate application flow for managing post-funding portfolio changes.
• Track change history and approvals across ownership, terms, and documents.

Reporting & Dashboards

• Export onboarding reports by client, region, or enterprise.
• Visual dashboards to track onboarding progress and identify delays.

Process HQ to deteAI & Automation Features

• Leverage AI to analyze document contents and compliance.
• AI carries out initial document reviews to minimize bottlenecks.

Security & Audit

• Role-based access control to clients, documents, and workflows.
• Full audit logs for all onboarding and revision activities.