Client Onboarding KYC and Suitability (Investment Advisor)
Complete KYC and suitability onboarding for investment advisory clients under CVM 178/23: identity verification, PEP and sanctions screening, source-of-funds documentation, ANBIMA suitability questionnaire, risk profile sign-off, LGPD consent, and Compliance Officer approval before activation. Built for operations teams, structured execution with approval gates and an audit trail.
For: Assessor de Investimentos, Gerente de Escritório, and Compliance Officer teams running client onboarding kyc and suitability (investment advisor)
What this template includes
Process steps
- 1Client intake and personal information
- 2Identity and address document collection
- 3PEP and sanctions list screening
- 4Source-of-funds documentation
- 5ANBIMA suitability questionnaire
- 6Risk profile definition and client sign-off
- 7LGPD consent registration
- 8Checkpoint 1, Branch lead documentary review
- 9Checkpoint 2, Compliance Officer final approval
- 10Archive KYC file and schedule periodic review
Why teams use this template
Complete KYC and suitability onboarding for investment advisory clients under CVM 178/23: identity verification, PEP and sanctions screening, source-of-funds documentation, ANBIMA suitability questionnaire, risk profile sign-off, LGPD consent, and Compliance Officer approval before activation. When this work runs through inboxes and ad-hoc spreadsheets, ownership gets fuzzy and evidence gets lost. Client Onboarding KYC and Suitability (Investment Advisor) gives you a 10-step process with 2 checkpoints and a built-in SLA so nothing slips between handoffs.
Built for teams led by Assessor de Investimentos, Gerente de Escritório, and Compliance Officer: 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, Branch lead documentary review" and "Checkpoint 2, Compliance Officer final approval") 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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