1. Go to your main clients’ list by clicking the client’s item on the left.
2. The add prospect button will appear once all fields have been filled out.
3. Create the Onboarding Task
4. Fill in the Instructions as indicated
5. This indicates the task has been successfully created
6. If you would like to add more detail to the onboarding task, go to the client
7. On the prospects detail page
8. Tasks Tab, edit the task by adding documents and notes or assigning it to a specific user in the role of client services.
9. The onboarding continues on the client services side, you go to my tasks page.
9a. The tasks will have no one assigned to it and would have been created by a wealth manager as seen below.
10. The tasks will contain instructions from the wealth manager and guidelines on the process.
11. The documents tab will include the documents required for onboarding a client. The context would be the client that needs to be onboarded, navigate to this client by means of the search page, and select the client and the name found in the context of the task.
12. On the client right-click on the client name and select “Onboard Client”
13. Once all required fields have been completed the OK button will be available. Please note that the documents would have to be downloaded beforehand from the task in order to upload them during onboarding. In addition to downloaded documents, any missing required field will prevent the onboarding of the client.
14. After the onboarding information has been completed navigate to the Change Requests tab for the client to make sure your 5 change requests have been submitted for review and approval.
15. As client services, you can right-click and select “Onboard Client“ in order to ensure all information has saved down correctly and the correct document has been linked to the correct change request. Once the data has been review select “Approve” as the reviewer under the approvals tab for each change request.
16. Each time this will prompt you for an approved reason.
17. After entering the reason and submitting the Approval by clicking “OK” the state of the change request will change to “Approving”
18. Change requests don’t have to be all done at the same time, if something is incorrect please reject and submit that change request separately. This will prompt you for a reason you rejected the review.
19. Rejected change requests can be either “Resubmitted” if you made a mistake and would not like to change any details or change requests can be “Re-Submitted as new” in order to either update the document or information.
20. Following this, a task can be created and assigned to someone else(not the reviewer) in the role of client services to double-check the information and “Approve” the change request in order to complete the onboarding of a client As the Approver please follow the same steps as mentioned above in order to navigate to the client and the option for “Approve” under the “Approvals” tab, please note that as the “Approver” you will not be able the edit any of the information added during the initial “Onboarding” process. In order to update information, the change request will have to be “Rejected” and “Resubmitted as new” in order for the state of that change request to be marked as “New” allowing the details and/or documents to be updated.
21. Rejected change requests will not be allowed to be approved.
22. Change Request can be in one of 5 states:

New: Details have been entered, but the change request has not been submitted which allows another user to update the details/documents of that change request
Approved: Won’t be visible as there are no available actions on a change request that has been approved. This states indicates that the details entered on the change request have been saved down onto the client.
Approving: Meaning change request details have been “Reviewed” by someone in the client services role, this state does not allow the details to be updated, but the change requests can be “Rejected” and “Resubmitted as new” in order for the details/documents to be updated.
Submitted: This state indicates the change request details have been submitted for review and approval, these details will also have to be Rejected and “Resubmitted as new” in order for the details/documents to be updated.

Rejected: Indicating the change request details were found to be incorrect by either the “Reviewer” or “Approver”. This state allows the change request to be “Resubmitted” which will take the state to “Submitted” or “Resubmit as new” which will alter the state of that change request to “New” allowing for details to be updated.

23. Once change requests have been reviewed and approved the state of compliance will be Ticked and the document for that compliance can be downloaded by selecting and downloading it below. Once a client has been fully onboarded all compliance checks will be ticked and KYC will be marked as completed.