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An integrated workflow management system that automates client communications, document generation, and tracking, improving efficiency and compliance in client services.
More about Broadridge Financial Solutions
Platforms that automate operational processes, track client service requests, manage task assignments, and ensure timely completion of administrative activities.
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Role-Based Access Control
Ability to assign role-appropriate access and permissions across the system.
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Single Sign-On (SSO) Integration
Supports centralized authentication and access through an SSO platform.
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Multi-factor Authentication
Requires multiple methods of identity verification for system access.
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User Activity Logging
Tracks and records user actions and changes within the system.
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Bulk User Management
Allows for simultaneous creation, update, or deactivation of multiple users.
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Permission Granularity
Degree of specificity for setting permissions at object or field-level.
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External User and Client Portal
Provides secure, dedicated access for clients to view or update information.
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Delegation & Proxy Access
Supports temporary or delegated access by designated users.
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Audit Trails
Records all changes and access for compliance and review.
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Automated Provisioning/De-provisioning
Automates user onboarding and offboarding.
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Dynamic Workflow Builder
Drag-and-drop or configuration-based tool for creating and editing workflows.
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Custom Task and Approval Routing
Specify rules for routing tasks based on user, team, or process type.
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Conditional Logic Support
Workflows adapt based on conditions or data fields.
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Task Assignment Automation
Tasks are assigned automatically according to rules.
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Reminders and Escalation Triggers
Automatic reminders and escalation on overdue items.
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Configurable Templates
Predefined templates for common processes, customizable by users.
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Parallel and Sequential Workflows
Supports both concurrent and stepwise processes.
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Workflow Versioning
Allows management of multiple versions of a workflow.
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Integration with External Triggers
Can start workflows triggered by external events via APIs.
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Pause and Resume Workflow
Ability to stop and later resume a workflow instance.
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Workflow Execution Capacity
Number of workflow instances the system can handle in parallel.
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Integrated Messaging
Communicate with clients and team members within the platform.
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Secure Document Sharing
Upload and exchange sensitive documents with clients securely.
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E-signature Integration
Collect legally binding signatures through the system.
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Automated Client Notifications
Automate status updates and alerts to clients during workflows.
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Activity Timeline/History
Centralized tracking of all client communications and interactions.
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Document Collaboration
Allow clients and team to comment or edit shared files.
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Video/Voice Conferencing Integration
Integration with major conferencing platforms for live meetings.
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Client Notification Delivery Methods
Number of client notification channels (SMS, email, app push).
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Client Response Tracking
Track client acknowledgement or responses to notifications.
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Portal Custom Branding
Customize client portal appearance for corporate branding.
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Open API
Supports robust APIs for data ingress and egress.
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CRM Integration
Natively connects or easily integrates with common CRM platforms.
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Core Banking/Portfolio Integration
Integrates with core banking or financial data sources.
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Document Management Integration
Connect to third-party document management systems (DMS).
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Calendar & Email Integration
Syncs with calendars and email clients (e.g. Outlook, Gmail).
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Batch Import/Export
Bulk import/export of data to diverse formats.
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Webhooks Support
Provides webhook endpoints for real-time updates.
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Pre-built Integration Connectors
Number of out-of-the-box integrations supported.
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Custom Integration Tools
Toolkits or modules for building unique integrations.
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Data Synchronization Frequency
How frequently the system can synchronize with other data sources.
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Regulatory Compliance Frameworks
Built-in support for financial industry regs (SEC, FINRA, GDPR, etc).
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Data Encryption (in transit & at rest)
Encrypts client and workflow data at all stages.
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Comprehensive Audit Logs
Full audit logs of user and system activities.
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Automated Compliance Checks
Workflows can trigger compliance or risk alerts automatically.
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Data Retention Policy Engine
Configurable rules for data retention and deletion.
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Privacy and Consent Management
Capture and manage regulatory consents from clients.
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Access Timeouts and Lockouts
Automatic user session timeouts and lockouts for inactivity.
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Incident Response Tracking
Built-in workflows for managing and reporting security incidents.
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Third-Party Security Certifications
System is certified against SOC2, ISO27001, or similar.
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Penetration Test Frequency
Number of external penetration security tests per year.
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Case Tracking
Full lifecycle management for client requests and service cases.
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Priority Levels
Supports configurable priority status per task or case.
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Automated Case Assignment
Automatically route tasks/cases to the right personnel.
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SLA Management
Ensures service level agreements can be set, tracked, and reported.
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Progress Tracking
Track status and completion % for all cases/tasks.
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Bulk Task Updates
Permits updating the status of multiple tasks simultaneously.
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Customizable Case Fields
Allow firms to define fields specific to their processes.
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Case Queues
Support for creating service, specialist, and escalation queues.
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Linked Cases or Subtasks
Relate cases to projects, parent tasks, or dependencies.
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Concurrent Task Capacity
Max number of tasks and cases system can manage in parallel.
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Real-Time Dashboards
Customizable dashboards showing live metrics.
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Report Scheduler
Automated, periodic report generation & delivery.
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Custom Report Builder
Users can design and save custom reports.
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Exportable Reports
Download or email reports in common formats (PDF, XLS, CSV).
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Data Visualization Library
Charts, graphs, and widgets for exploring data.
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Drill-down Capability
Analyze metrics at increasing levels of detail.
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Productivity Tracking
System metrics on throughput, delay, and bottlenecks.
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Compliance Reporting Templates
Prebuilt reports for regulatory and compliance standards.
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Data Retention for Analytics
Duration of historical analytics data available.
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API Access to Analytics Data
Allows access to workflow analytics data via APIs.
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Modern User Interface
Responsive, clean, and easy-to-use web interface.
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Mobile Access
Native or mobile-optimized app for on-the-go workflow management.
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Personalized Dashboards
Users can tailor dashboards to their preferences.
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Bulk Editing Tools
Make changes to multiple items simultaneously.
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Onboarding & Guided Tours
Step-by-step guides for training new users.
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Global Search Functionality
Quick search across workflows, clients, cases, and documents.
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Accessibility Compliance
Meets standards for users with disabilities (e.g., WCAG 2.1).
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Contextual Help & Tooltips
Inline documentation and help for features.
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Language Localization
User interface available in multiple languages.
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User Interface Response Time
Speed with which the user interface responds to actions.
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No-code/Low-code Customization
Business users can configure fields, rules, and flows without coding.
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Configuration Version Control
Track changes to workflow configurations and rollback if needed.
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Sandbox/Testing Environments
Safe environment for testing configurations before deployment.
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Automated Updates
Receive and apply version updates automatically.
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Custom Fields and Forms
Add and configure user-defined fields and forms.
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Scriptable Business Logic
Ability to define custom scripts or business rules (e.g., via JavaScript, Python).
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Integration Test Tools
Built-in tools for testing integrations before production rollout.
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Configuration Documentation
Automatically generate or update system configuration documentation.
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Automated Backup Scheduling
Configure regular backups of system and configuration data.
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Rolling Back Failed Deployments
Undo unsuccessful configuration or workflow deployments.
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Cloud-Native Architecture
Supports elastic scaling and high availability.
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Load Balancing
Distributes user and task load for consistent performance.
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Performance Monitoring Tools
Built-in tools for monitoring resource utilization and performance.
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Data Storage Capacity
Maximum volume of data the system can store and manage.
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Concurrent User Support
Number of simultaneous users the system can support without degradation.
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Disaster Recovery RTO
Recovery time objective; how quickly the system can recover from failure.
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Uptime SLA
Guaranteed system uptime percentage, as per service level agreement.
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Geographical Redundancy
Ability to run across multiple data centers/regions for resilience.
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Auto-Scaling Capabilities
Automatically adjusts resources based on demand.
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Transaction Throughput
Maximum number of transactions processed per second.
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24/7 Support Availability
Round-the-clock helpdesk or technical support.
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In-app Knowledge Base
Library of articles, guides, and FAQs accessible within the platform.
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Community Forums
Access to peer support and product community spaces.
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Onboarding Training Services
Formal training and onboarding support for new clients.
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Professional Services Network
Availability of consulting, integration, and customization partners.
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Developer Documentation
Comprehensive technical documentation for extensibility.
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Marketplace of Extensions
Central hub for certified integrations, plugins, and add-ons.
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User Feedback Mechanism
Easy way for users to submit feedback or feature requests.
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Release Notes & Communication
Regular communication on updates, bug fixes, and features.
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On-site Support Time
Availability of on-site support, measured in hours per year.
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