Collect and check client KYC documents
New clients are sent a checklist for identity, ownership and source-of-funds documents. The system reads what arrives, checks it is complete and consistent, runs the screening you use and gives the compliance officer a file ready to review. For firms that gather KYC by email.
Function: Legal and compliance · Industry: Professional services
Collect and check client KYC documents
6 steps
At a glance
- Trigger
- A new client or matter is opened.
- Typical inputs
- Client onboarding form
- Identity and company documents
- Ownership and beneficial-owner details
- Your risk-assessment policy
- Systems it usually connects to
- Clio
- DocuSign
- Gmail
- Google Drive
- How the work splits
4 rules, 1 model, 1 person steps
How it runs, step by step
6 steps, each tagged by what does the work. Rules are fixed logic, a model reads or drafts, and a person decides.
- Rules Fixed logic in code
- Model AI reads or drafts, with a confidence score
- Person A named person decides
- 1
Send the checklist
RulesThe client receives the document list that fits their type and risk level, with a secure upload link.
- 2
Read the documents
ModelA model extracts names, numbers, dates and addresses, and flags expired or illegible documents.
- 3
Check consistency
RulesNames and addresses are compared across documents and the form, and missing items are requested with reminders.
- 4
Run the screening
RulesNames are checked through the screening provider your policy names, and results are attached to the file.
- 5
Assess and approve
PersonThe compliance officer assesses risk, resolves screening hits and approves or declines the client.
- 6
Schedule re-checks
RulesReview dates are set by risk tier, and the file is reopened when documents expire.
Where people approve
The decisions that stay with your team, whatever the confidence score says.
- The compliance officer approves every client.
- Screening matches are resolved by a person.
- Higher-risk clients need a partner's sign-off.
KPIs to track
What to measure, before and after. Targets come from your own baseline.
- 01Days from intake to approved file
- 02Files complete on first submission
- 03Documents expired at the time of re-check
- 04Compliance officer hours per file
Questions about this workflow
Does the model verify that an ID is genuine?
No. It reads and checks consistency. Verifying authenticity needs a dedicated identity-verification service, which we can connect if your policy requires one.
Which rules does it follow?
Yours. Requirements depend on your sector and country, so your compliance team defines the checklist and risk tiers and we implement them. We do not provide regulatory advice.
Which steps use rules, a model and a person?
Rules: send the checklist; check consistency; run the screening; schedule re-checks. Model: read the documents. Person: assess and approve. Rules are fixed logic in code. A model reads or drafts and reports its confidence. A named person decides.
What do we need to start?
Typically: client onboarding form; identity and company documents; ownership and beneficial-owner details; your risk-assessment policy. You also need read access to Clio, DocuSign, Gmail and Google Drive, or the equivalents you use. A workflow audit measures your volumes and past cases first, then gives a fixed price for the build, so you can decide with real numbers.