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Compliance | Onboarding

Keep compliance connected to the customer journey.

Onboarding cases coordinate KYC, risk assessment, agreements, and officer review, clearing customers for activation when your plans require it.

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See it in context

The business problem

Compliance steps happen in email threads and separate folders. Services go live before KYC is complete; reviewers lack a single queue; audit evidence is scattered.

How TradePacer CRM solves it

An onboarding case checklist tracks KYC, risk, terms, agreements, and compliance review. Plan onboarding policy determines required items. Activation gates block subscriptions until approval when configured.

Key workflows

How teams use Compliance

  1. 01

    Open case

    Subscription proposal or manual action creates an onboarding case with checklist items from plan policy.

  2. 02

    Collect KYC

    Identity documents and profile fields progress through not started → submitted → verified.

  3. 03

    Assess risk

    Published questionnaires produce scored assessments stored on the customer record.

  4. 04

    Sign agreements

    Agreements move through sent, OTP verification, and signed states with document evidence.

  5. 05

    Approve

    Compliance officer review aggregates evidence and approves or rejects; activation gate clears on approval.

One case, every sub-step

Customers can complete portal tasks; staff assist where needed. Terms acceptance is recorded with timestamp evidence.

Connected in the platform

Works with the rest of your operation

Client Management Customer record Payments & Revenue Post-approval billing Research & Advisory After activation

Role & use case

Built for compliance officers

Compliance officers work ALL-scoped onboarding and review queues. They approve or reject cases that gate catalog subscription activation.

Frequently asked questions

Does every plan require onboarding?

No. Catalog plan onboarding policy determines which checklist items apply. Some plans activate without a compliance case.

Can customers complete KYC in the portal?

Yes, when customer portal is enabled, KYC and agreement tasks can be completed by the customer with staff review.

What blocks activation?

The onboarding activation gate prevents subscription activation until required checklist items and compliance approval are complete.

See Compliance in a live demo

Walk through these workflows with our team, tailored to your modules and roles.

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