Answer every call on the first ring.
Leads call after 5 PM and hit voicemail.
Est. deploy 2–3 weeksSee the walkthrough
Intake & Scheduling · Financial Services
Catch onboarding gaps before account opening.
Incomplete client packets create repeated callbacks.
For: Client service managers and the team responsible for intake & scheduling in financial services.
01 · The outcome
What good looks like.
The team has an onboarding exception list for authorized review, with source evidence and an explicit approval before any external action. Track packets accepted without rework against a baseline; do not assume automation improves it.
A connected workflow that uses required document list, uploaded forms, and secure identity-verification status to flag missing signatures or inconsistent details without performing autonomous KYC decisions. It produces an onboarding exception list for authorized review.
Where AI helps, and where a person decides.
AI can flag missing signatures or inconsistent details without performing autonomous KYC decisions. It drafts and organizes; it does not authorize spending, commitments, clinical decisions or customer communication. The client service manager verifies the source facts and approves the final action.
Client service manager is accountable. People approve customer-facing, sensitive, financial, and legally binding actions.
- Client service manager: Capture the source and scope
- Client service manager: Review the proposed outcome
- Client service manager: Release only the approved version
- Client service manager: Check the result and exceptions
A named person approves customer-facing messages, spending, record changes and binding commitments before release. Pre-approved scripts are versioned; exceptions stop for review.
02 · The handoffs
How the work moves.
Every handoff has an owner. Select a step to open or close its detail.
Start when: A client submits an onboarding packet. Connect only required document list, uploaded forms, and secure identity-verification status. The client service manager confirms the request is authorized and in scope.
Ready when: The source reference, permissions and accountable owner are recorded.
Use the authorized records to flag missing signatures or inconsistent details without performing autonomous KYC decisions. Preserve the original language alongside the draft and label uncertain fields.
Ready when: Each proposed fact links back to a source, and missing information is visible.
Check an onboarding exception list for authorized review against the original records and current policy. Correct errors and escalate exceptions to the qualified specialist; do not auto-approve.
Ready when: Client service manager has recorded approval or a reason to hold the item.
After explicit approval, save an onboarding exception list for authorized review in the system of record. Send only approved messages to verified recipients. Record the version and prevent duplicate delivery.
Ready when: The approved record is saved; any delivery is confirmed or placed in the retry queue.
Review packets accepted without rework each week, sample completed records for quality, and resolve held items. Change the rules only after reviewing actual errors and staff feedback.
Ready when: Exceptions have owners, the metric has a baseline, and corrective actions are assigned.
Sample record.
$ david run --workflow=finance-onboarding-gaps
ILLUSTRATIVE RECORD / NOT LIVE CUSTOMER DATA
- Example
- Illustrative only — not a real client record
- Reference
- FINANCE-ONBOARDING-GAPS-DEMO-001
- Trigger
- A client submits an onboarding packet.
- Owner
- Client service manager
- Prepared output
- an onboarding exception list for authorized review
- Review status
- Awaiting human approval — no external action taken
- Missing information
- Owner to verify source completeness
- Measure
- Packets accepted without rework
Start with your tools.
Connect Salesforce, Microsoft 365, Compliance archive through approved APIs or controlled exports. Map record identifiers first; test permissions and field updates in a sandbox. Vendor names describe possible connections, not a guarantee of an available integration or license.
When things go wrong.
- A named person approves customer-facing messages, spending, record changes and binding commitments before release. Pre-approved scripts are versioned; exceptions stop for review.
- Use only authorized sources and role-based access. Keep an audit trail of source records, drafts, approvals and delivery status; deduplicate retries.
- If an integration fails, a source is missing or confidence is low, pause the action and assign the original request to the accountable owner.
- For financial or insurance work, a properly licensed professional approves recommendations, coverage, suitability and binding actions. Apply the firm's supervision, retention and advertising rules.
Try this week / no DAVID required
A useful first step.
This week, have your client service manager time five examples of this work. Use redacted copies of required document list, uploaded forms, and secure identity-verification status to make an onboarding exception list for authorized review manually, then list which fields required judgment.
What to measure.
- Packets accepted without rework
- Minutes of human handling per completed item
- Drafts needing substantive correction
- Exceptions unresolved beyond the agreed review window
Estimate your time back.
20.8
$11,232
03 · More workflows to consider
Related workflows.
Route every inquiry, 24/7.
Email, calls and webforms produce disconnected intake trails.
Est. deploy 3–5 weeksSee the walkthrough
Prepare every treatment start before arrival.
Missing forms delay the first treatment visit.
Est. deploy 4–6 weeksSee the walkthrough
Want this running in your business in 4–6 weeks?
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