Onboarding File Assessment
A focused review of recently onboarded customer packs to catch incomplete identity and beneficial-ownership evidence before the first periodic review cycle.
At a glance
- For: Firms with a surge of new accounts or a new onboarding vendor
- Delivery: Remote or on-site
- Timeline: 1–2 weeks
- Fees: Fixed fee by sample size band
Next step
Share your customer population size and whether files must remain on-site. We prepare a scoping note before any fieldwork starts.
Request a scoping callPurpose
When onboarding volume spikes or a new vendor starts preparing KYC packs, early defects compound. This assessment samples recent onboarding files only — typically the last 60 to 90 days — and checks whether identity, address, and beneficial ownership evidence meets your stated standards.
Scope
- Sample of new individual and corporate relationships
- Completeness of certified ID copies and authority documents
- Consistency between application forms and supporting exhibits
- Timeliness of first-line reviewer sign-off
Deliverable
A short exception log ranked by severity, plus a one-page briefing for the onboarding manager. This is not a full population KYC record verification audit; escalate to the flagship engagement if you need board-level assurance across the book.
Next step
Request a scoping call with your approximate onboarding volume for the last quarter.