Your Approval Process Is Approval Purgatory
Tuesday morning. Suitability review request comes in.
Advisor submits form. Missing three key pieces of data. Gets bounced back.
Thursday:
Resubmitted. Compliance needs client financials from the CRM. Operations can’t find them.
Friday:
Client calls. “When can I invest?” Advisor says “any day now.”
Monday:
Still sitting in someone’s queue. No one knows who owns it. Everyone assumes someone else is handling it.
Your approval process creates more problems than it solves.
What You Get
Unified Data Assembly
Automatically pull client data from multiple sources
Complete financial picture for every approval request
Investment history & risk tolerance in one view
No more hunting across systems for context
Smart Case Routing
Route alternatives approvals to qualified reviewers
Escalate high-dollar requests automatically
Balance workload across approval teams
Geographic routing for multi-office compliance
Approval Workflow Control
Define approval chains that make sense
Set dollar thresholds & complexity triggers
Automatic notifications & deadline tracking
Exception handling for unusual requests
Status Transparency
Real-time visibility for advisors & clients
Progress tracking with clear next steps
Communication history in one thread
SLA monitoring & alerts
Data-Driven Decisions
All relevant client information pre-populated
Risk assessment tools integrated
Historical decision patterns accessible
Compliance flags & warnings built-in
The Transformation
Suitability Reviews
Complete Data Picture, Clear Workflow
Real-Time Visibility For Everyone
Unified View Of All Relevant Information
Standardized Approvals Every Time
REAL RESULTS
Advanced
Approval Features
Multi-Source Data Assembly
Pull client assets from custodial systems
Import risk profiles from planning software
Access investment history from portfolio platforms
Combine everything into approval-ready packages
Conditional Logic Workflows
Route based on investment type, dollar amount, client tier
Automatic compliance checks before human review
Escalation triggers for complex or high-risk requests
Exception handling for non-standard situations
Decision Documentation
Capture reasoning for every approval or denial
Link decisions to supporting data & analysis
Create searchable database of approval precedents
Maintain complete audit trail for regulators
Integration Ecosystem
Send approved requests to trading systems
Update CRM records with approval status
Notify planning software of investment changes
Sync with document management systems
Built For
Real Firms
