Wealth Management Onboarding & compliance
Suitability built into the investor journey
How a wealth manager moved paper risk questionnaires into digital onboarding, so every mandate traces back to a recorded risk profile.
The starting point
A client has advisers onboarding investors with paper risk questionnaires. The answers were not linked to the mandate an investor was placed in, which made reviews slow and hard to evidence.
What they needed
- Run the risk questionnaire inside onboarding
- Offer only strategies that match the profile
- Keep the evidence on the client file
- Prompt a review when a profile changes
What FYNXT delivered
FYNXT moved onboarding to Digital Onboarding with the suitability questionnaire inside the journey. The answers set the risk profile, only matching strategies are offered, and the record stays on the client file in Financial CRM.
What changed
- Every mandate traces back to a risk profile
- Advisers only see suitable strategies
- Reviews have their evidence on file
- Portfolio & investment
Pooled strategies without month-end spreadsheets
PAMM / Copy Trading · Client experienceRead the use case - Partners & introducers
Introducers paid on the fees their investors generate
Incentive Management · PAMM / Copy TradingRead the use case - Client service
Investor requests and reporting handled from one adviser workspace
Financial CRM · Client experience · Data & intelligenceRead the use case
Next step
See how FYNXT would run this for your firm.
Book a demo and we will walk through this use case on your own set-up, with the systems you already run.