Financial Services & Accounting
Reviewable automation with full audit trails.
Client onboarding that stretches across systems, repeatable review steps, and report generation that consumes staff time. I automate the tedious parts while preserving reviewable records and human approval.
Operational map
Client onboarding: from first docs to verified identity to active account
Connected systems
QuickBooks
Xero
Clio
Coordinated workflow
New client fills out digital onboarding
form. Required documents listed with upload interface.
Automation validates document completeness
Missing items trigger specific follow-up emails listing exactly what's needed.
Identity checks required by the firm
or its custodian run through the approved provider. Results are stored with a timestamp and audit ID.
Context before connectors
Financial-services requirements depend on whether the firm is an SEC- or state-registered adviser, broker-dealer, accounting firm, or dual registrant. You cannot just throw a generic automation tool at sensitive client data. I build workflows around the firm's approved policies: preserving required records, protecting customer information, documenting human review, and producing audit trails that compliance staff can inspect. Repeatable onboarding, reporting, and document steps are automated; recommendations, exceptions, and approvals stay with qualified people.
Relevant experience
15+ years of commodities and currency trading experience. 8+ years in crypto markets. Deep understanding of financial compliance workflows, audit requirements, and regulatory reporting.
Problems I solve
Client onboarding slows down when documents bounce between email, a portal, and disconnected internal systems.
Repeatable review steps still require evidence, supervision, and a clear path for exceptions rather than an unreviewed automated decision.
Recurring reports consume staff time when data lives in accounting software, the CRM, and separate spreadsheets.
Tax-season document collection becomes a long email chase when requests, receipts, and missing items are not tracked in one place.
Client onboarding: from first docs to verified identity to active account
Workflow
- 0101
New client fills out digital onboarding
form. Required documents listed with upload interface.
- 0202
Automation validates document completeness
Missing items trigger specific follow-up emails listing exactly what's needed.
- 0303
Identity checks required by the firm
or its custodian run through the approved provider. Results are stored with a timestamp and audit ID.
- 0404
Documents routed to the right team
member based on account type (individual, trust, corporate).
- 0505
The firm's approved checklist auto-populates
Deterministic checks run automatically; exceptions and required approvals go to a qualified reviewer.
- 0606
Once all checks pass
account provisioned in your systems. Welcome packet sent with portal access.
- 0707
Full audit trail generated
every document, every check, every approval, timestamped and stored.
Systems in the workflow
Related services
Related resources
Case studies
Use cases
Every project starts with a free call. If automation isn't the right fit for your financial servicespractice, I'll tell you.
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