Onboarding Compliance Admin Automation

The onboarding stage is where most compliance breaches actually happen — not because anyone was negligent, but because an FSG was forgotten in one email, or an engagement letter was signed without a Statement of Advice attached, or an ID check was recorded on paper that then went missing. Automation eliminates the human forgetting step.

The full onboarding flow, automated

1. 1Adviser marks 'proceed' in the CRM. This is the only manual trigger.
2. 2Engagement letter and FSG are generated with client-specific data, sent via e-sign (Annature preferred for Australian firms).
3. 3AML/CTF customer identification is initiated via your chosen provider.
4. 4Privacy collection notice is presented and consent captured with timestamp.
5. 5Client portal invite lands; document checklist appears.
6. 6Fact-find opens inside the portal (see fact-find automation).
7. 7Every 3-7 days, outstanding items are chased automatically.
8. 8When complete, a bundled file lands in the adviser's queue for review — with every compliance artefact in one place.

Why this reduces compliance risk

Because every step produces a timestamped, exportable audit record. If ASIC or your licensee's compliance function asks to see the engagement chain for client X, it is one export. Contrast that with an email-based process where the FSG was sent from one adviser's Outlook and the engagement letter from another — that is the file that goes missing at audit.

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