Start using this Workflow
Client Review Checklist
Client Information Verification
Confirm client's full legal name and any aliases
Verify current residential address and contact information
Check client's date of birth and social security number
Review client's employment status and employer details
Update client's marital status and dependents information
Financial Status Review
Assess current income streams and amounts
Evaluate total assets including bank accounts, investments, and property
Review liabilities such as loans, credit card debts, and mortgages
Analyze recent bank statements and transaction history
Check for any changes in client's financial goals and risk tolerance
Investment Portfolio Assessment
Review performance of current investments
Compare current portfolio allocation to client's risk profile
Identify underperforming assets and potential rebalancing opportunities
Discuss any new investment opportunities or strategies
Update beneficiary information for investment accounts
Compliance and Regulatory Checks
Ensure all client documentation is up-to-date and complete
Check for any outstanding regulatory disclosures or requirements
Verify compliance with anti-money laundering (AML) regulations
Confirm client's understanding and acknowledgment of key policies
Document any compliance-related issues or concerns
Client Satisfaction and Feedback
Discuss client's overall satisfaction with services provided
Gather feedback on any recent transactions or interactions
Address any client concerns or questions
Identify opportunities for service improvement
Schedule next review meeting or follow-up action
