Onboarding checklist
🎯 How to use this checklist
Copy this checklist into the CRM onboarding task for each new intermediary. Every item must be checked, with evidence attached, before the record moves to the next stage. The checklist is the audit trail for the onboarding controls.
📊 Operational overview
Operational control metrics
- Checklist completion compliance target: 100%
- Missing mandatory document rate monitored monthly
- Activation segregation control adherence: 100%
- Audit evidence attachment compliance: 100%
- Intake-to-activation handoff tracked daily
Continuous improvement opportunities
- Reduce onboarding handoff delays between stages
- Improve evidence naming consistency across onboarding teams
- Increase automation of mandatory document verification
- Monitor recurring checklist failures by onboarding stage
- Enhance audit traceability within CRM records
✅ Operational requirement: Every checklist item must be completed and evidenced before progression to the next onboarding stage.
🧾 Stage 1 — Intake
Application form complete and signed
FSP licence copy on file
Bank confirmation letter (< 3 months old)
Key individual CV received
Requested mandate and product lines documented
🧾 Stage 2 — Review
Completeness check performed
FSCA register validation done, dated screenshot attached
Fit-and-proper assessment completed on template
Sanctions and adverse-media screening report attached
Second reviewer sign-off recorded (CTRL-D-03)
🧾 Stage 3 — Setup
CRM master record created per work instruction
Commission agreement linked, approved structure code used
Documents attached with correct naming convention
Status set to Pending Activation
🧾 Stage 4 — Activation
Activation performed by second administrator (CTRL-D-07)
Signed mandate stored
Portal credentials issued
Welcome pack sent
Activation date recorded — starts the relationship review clock
📈 Records and measures
Cycle time note: the difference between the Stage 1 completion date and the Stage 4 activation date feeds the Intermediary onboarding cycle time KPI.