Client Onboarding and Compliance for Sterling Capital Advisors
A financial advisory firm replaced a paper KYC process with a governed digital onboarding workflow, more than halving time to activation.
Onboarding cut from 11 days to 4
Sterling Capital Advisors (sample)
Mumbai, India
Zoho Creator onboarding workflow
8–10 weeks, four phases
Client overview
Sterling Capital Advisors provides investment advisory and portfolio services to high-net-worth individuals and family offices, with a compliance obligation on every client file.
Business challenges
Onboarding was the bottleneck, and compliance had no reliable way to prove the file was complete.
- KYC documents collected on paper and scanned into folders
- Approvals granted by email, with no structured record
- Advisors chasing missing documents by phone
- No single checklist proving a file was complete and compliant
What they needed
- A digital onboarding workflow with a mandatory document checklist
- Electronic signature on client agreements
- A complete audit trail for every approval
- Visibility for advisors on where each file is stuck
Our solution
Kelevo built the onboarding workflow in Zoho Creator with a mandatory document checklist and stage gates, integrated Zoho Sign for agreements, and linked the whole flow to Zoho CRM so advisors can see the status of every file.
Key features delivered
- Digital KYC checklistStage gates that will not advance until required documents are attached.
- Electronic agreementsZoho Sign for client agreements, with completion writing back to the record.
- Full approval audit trailEvery approval timestamped and attributed, exportable for review.
- Advisor visibilityA live view of which files are waiting, and on what.
Business impact
4days
average onboarding time
64%
faster than the paper process
100%
of files with a complete audit trail
Compliance can now prove a file is complete without opening a cabinet. Advisors know exactly what is holding a client up.
Sample Name
Head of Compliance, Sterling Capital Advisors
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