The Onboarding compliance app is designed to help you check new customers’ applications for compliance issues.
Make sure you perform the initial steps before you use this solution. Otherwise, the business process will not work correctly.
Adding a new application
Applications can be added to the app by clicking the +Application button in the upper right corner of the Onboarding compliance app page.
Fill out the creation form:
- Company*. Select the company you are working with from the Companies app in the CRM workspace. Click +Create to add a new one.
- Contact*. Select the contact person from the Contacts app in the CRM workspace. Click +Create to add a new one.
- Application type*. Select the type of application from the Application types app. Click +Create to add a new one.
- Attached documents*. Upload the customer’s documents that need to be attached to the application.
When you fill out the information, click Save. The application will be added to the Onboarding compliance app, and the Compliance checking business process will start.
If you want applications to be added to the system automatically, it is possible to integrate the platform with an external system using APIs. Applications will appear in the Onboarding compliance app as customers fill out a form on your website.
Reviewing the application
When an employee creates an application in the system, he or she gets the task to review it and complete the Risk score table.
You can find all information about the application below the table.
Follow these steps:
- Click the empty cell in the Risk score parameter column, select a risk score parameter from the corresponding app, and click anywhere on the form. You will see the parameter’s weight in the corresponding column.
- Click the cell in the Risk value column and enter the number indicating how significant the risk is. Click anywhere on the form. The Weighted value column will be filled out automatically.
- Add all applicable risk score parameters to the table. You will see the Average risk score in the bottom cell of the Weighted value column and above the table. If the risk level is acceptable, click Approve.
When you approve the Application, it will be assigned the Application approved status, and the Compliance checking business process will end.
If some documents in the application are missing or invalid, click Send a document request to ask the customer for additional documents. The customer will receive an email and upload the necessary documents on the Service Portal. If the necessary external user account is locked, you will get the task to unlock it before the customer can access the Service Portal.
If the risk score is high and you cannot approve the application without additional verification or you have other issues, click Escalate to Compliance Officer. You will need to leave a comment.
In this case, the Compliance officer gets the task to review the document. The task form is essentially the same as the previous one. Under the Risk score table, there is the Escalation comment left by the employee who added the application. If the documents in the application are in order, complete the Risk score table as described above. When you approve the Application, it will be assigned the Application approved status, and the Compliance checking business process will end.
If some information or documents are missing or invalid, you can Send a document request to the customer.
You can also Reject the application. In this case, you will need to leave a comment. The application will be assigned the Application rejected status, and the Compliance checking process will end.
When the employee who added the application to the system or the Compliance officer makes a document request, the customer needs to upload them on the Service Portal for external users. If the customer’s external user account is locked, the employee who added the application gets the task to unlock it. To do that, follow the instructions in the Lock an external user article.
If some information or documents in the application are missing or invalid, the employee who added the application to the system or the Compliance officer can request additional information or documents from the customer. The customer gets an email informing him or her that additional information needs to be added on the Document Upload Page on the company’s Service Portal. If the customer wasn’t registered as an external user in the company, the email will include a personal invitation link. To activate your external user account, click the link and enter your name and password.
When you log in to the portal, you will see the Document Upload Page. On the left, you can see your Tasks. The right side of the page shows your applications. You can search by status to find the necessary one.
To upload the requested documents or add the necessary information, click the Add additional info task in the list on the right (you may need to reload the page for the task to appear in the list). The deadline for the task is three business days.
You will see what information or documents you need to add to the application in the Additional Information Required field. In the Additional information* field, write the requested information or leave a comment. In the Files* field, attach the required documents. Click Send. The application will be reviewed again.
Contacting the customer
If the customer doesn’t add the missing information or documents in three business days, the employee who created the application in the system gets the task to contact the customer to inquire why the requested additional documents or information were not added on the Service Portal. The task form includes all information about the application.
Contact the customer. If he or she still wants the application to be processed and are ready to upload the required documents to the Document Upload Page, click Success. The customer will get the task on the Service Portal again. If the application needs to be cancelled, click Reject. You will need to leave a comment. The Application will get the Application cancelled status, and the process will end.
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