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Wealth Management Workflow Automation from Fiserv
Automates client service workflows, document management, compliance checks, onboarding, and approvals for wealth management and financial advisory firms. Integrates with CRM, portfolio management, and reporting tools, featuring customizable process automation for client service and operations.
Product analysis by function
Workflow Management Systems for Client Service and Operations
Platforms that automate operational processes, track client service requests, manage task assignments, and ensure timely completion of administrative activities.
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User Management & Access Control
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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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Workflow Automation & Customization
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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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Client Communication & Collaboration
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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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Integration & Interoperability
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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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Compliance, Audit, & Security
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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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Task & Case Management
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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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Analytics & Reporting
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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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Usability & User Experience
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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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Configuration & Maintainability
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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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Scalability & Performance
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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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Support & Ecosystem
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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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