Investment Advisor Onboarding (ANCORD/CVM)
Complete onboarding for a new investment advisor under CVM 178/23: ANCORD certification verification, criminal and credit background checks, contract signing, mandatory training (CVM 178, AML, LGPD, code of ethics), CRM and systems provisioning, and 90-day supervised activity review. Built for operations teams, structured execution with approval gates and an audit trail.
For: Head de Assessoria, Compliance Officer, Assessor de Investimentos, TI, and Supervisor de Assessoria teams running investment advisor onboarding (ancord/cvm)
What this template includes
Process steps
- 1Advisor intake, personal and professional information
- 2ANCORD certification verification
- 3Criminal and civil background check
- 4Credit and CVM/CADE register checks
- 5Advisor contract signing
- 6Mandatory training, CVM 178/23
- 7Mandatory training, AML/PLDFT and COAF
- 8Mandatory training, LGPD and code of ethics
- 9Checkpoint 1, Compliance Officer documentary approval
- 10Systems and CRM provisioning
- 11Supervised activity log (first 90 days)
- 12Checkpoint 2, 90-day supervisor review and full activation
Why teams use this template
Complete onboarding for a new investment advisor under CVM 178/23: ANCORD certification verification, criminal and credit background checks, contract signing, mandatory training (CVM 178, AML, LGPD, code of ethics), CRM and systems provisioning, and 90-day supervised activity review. When this work runs through inboxes and ad-hoc spreadsheets, ownership gets fuzzy and evidence gets lost. Investment Advisor Onboarding (ANCORD/CVM) gives you a 12-step process with 2 checkpoints and a built-in SLA so nothing slips between handoffs.
Built for teams led by Head de Assessoria, Compliance Officer, Assessor de Investimentos, TI, and Supervisor de Assessoria: every task has a named owner, every approval routes to a real role, and the run history is the audit trail your auditors actually want.
The checkpoint tasks ("Checkpoint 1, Compliance Officer documentary approval" and "Checkpoint 2, 90-day supervisor review and full activation") cannot be skipped, they're where the run produces evidence the next stage depends on. Overdue runs escalate automatically, and you start with structure instead of building it from scratch every time.
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