How to Onboard an Individual

Summary

This article explains how to start and complete a new client onboarding order for an individual using the AML Onboarding and VOI tool, including performing a client risk assessment and finalising onboarding checklist items.

When to Use This

Use this guide when you need to initiate the onboarding process for a new individual client to comply with AML regulations.

Step-by-Step Instructions

Option 1 - directly from the triSearch or InfoTrack platform

1. Navigate to AML Onboarding (incl. VOI) within the platform.
2. Click the Start new order button located in the top right-hand side.
3. Enter the Matter reference field.
4. Select the client type you are onboarding. For this process, select Individual.
5. Fill in the key information relating to the client, including First name, Middle name, and Surname.
6. Enter the client's Date of birth (optional, but recommended if available).
7. Enter the client's Mobile number and Email address.
8. If needed, click + Add another client to include multiple individuals in the order.
9. Click Continue to proceed to the client card configuration.

Option 2 - from your Practice Management Software

1. There are multiple entry points to creating an Onboarding order for an individual from your Practice Management Software, including but not limited to:

   1. the AML & VOI pill next to the contact’s name in your matter; or

   2. from the AML Onboarding incl. VOI milestone from the embedded interface in your matter.

      

2. Key information will pre-populate from the completed Matter details. Ensure to complete as much detail at matter set up.

3. The client's Date of birth is optional, but recommended if available.

4. Ensure the client's Mobile number and Email address has been completed. You can click the pencil icon in the client’s contact card of the order to add those details.

5. If needed, click + Add another client to include multiple individuals in the order.

6. Click Continue to proceed to the client card configuration.

Completing the Onboarding Process

1. Navigate to the main onboarding dashboard and locate the client's profile under the list.
2. Select the option to review the client's submitted identity details to complete the Verification of Identity (VOI) process.
3. Once the identity verification is finalised, review the completed Know Your Customer (KYC) onboarding form submitted by the client.
4. Access the client's comprehensive compliance profile by selecting the summary options.
5. Perform a detailed risk assessment by answering safety and financial risk evaluation questions based on the transaction context.
6. Conduct final verification checks to satisfy all reasonable regulatory grounds, then confirm and complete the client's onboarding.
7. Generate and download the consolidated compliance and onboarding report for your business files.

Common Questions

• Does the matter reference field populate automatically? Yes, it will pre-populate from your Practice Management Software when you create a matter.
• Is the date of birth required? No, the date of birth is an optional field.

Troubleshooting Tips

• Missing client details: Ensure you have the correct mobile number and email address, as these are crucial for sending the onboarding requests to the client.