---
title: Onboarding checklist
slug: sales-operations/onboarding-checklist
icon: {"lucideIcon":"ListChecks"}
docTags: 
createdAt: 2026-08-17T11:14:22.195Z
---

# 🎯 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

::::VerticalSplit{layout="middle"}
:::VerticalSplitItem
### 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
:::

:::VerticalSplitItem
### 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
:::
::::

:::hint{type="success"}
**✅ 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

:::ExpandableHeading
## 🔎 Evidence quality requirements

- Attach dated evidence for every completed control activity.
- Ensure screenshots include timestamps and identifiable source references.
- Use approved naming conventions to support retrieval during audit reviews.
- Escalate unresolved checklist gaps before activation activities commence.
- Review recurring evidence deficiencies to support operational coaching and QA improvements.
:::

# 📈 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.