RIA: Workflow & Operations

Is managing information from multiple sources creating inefficiencies and preventing your firm from future growth?

Nexus creates a foundation for productivity by organizing tasks and streamlining processes.

Making workflow and back office processes more efficient

The Nexus platform provides technology solutions for an RIA’s end-to-end use case scenario along with many of the problems associated with managing the high volume of individual items, tasks, and information financial Advisors need to execute and monitor every day. To access all relevant information simultaneously, we’ve combined nine different technologies into a single integrated package. In addition, Nexus incorporates a system built adherence to your WSP and ADV. The result is enhanced functionality, increased efficiency, better monitoring, and more granular transparency with less cost without the need for additional staff. The integration provides your firm with high-level client confidentiality, data privacy, and robust cyber security protection.

Creating synergy

Nexus ensures that the RIA and their Investment Advisors are all interconnected as a cohesive unit. It acts as an office traffic director to align communications, workflow management, compliance documentation, and books and records management. The system establishes the foundation of productivity to include setting the conditions in which every Nexus user sees and interacts with data, powering compliance requirements and enforcements as well as instituting guidelines to ensure various departments are operating and communicating regarding various tasks at maximum efficiency.

Experience Nexus

Smart productivity that yields value for financial services firms and staff.

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Project Management & Workflow

  • Unified task-based system
  • Integrated secure communication for operations and compliance-related matters
  • Real-time status of requested or mandatory tasks
  • Complete task lifecycle stored to provide dependable information archiving and retrieval
  • Highly configurable, back office controls for:
    • Task types
    • Workgroups
    • Business rule steps
    • Routing to multiple workgroups within the back office
  • Configurable internal, office-centric workflow for individual Advisor offices
  • Integrations with document management systems and e-signature providers

Compliance Requirements

  • Workflow ticket distribution, handling and notification
  • Customer accounts concentration alerts, performance conditions, and billing
  • Advisor’s Nexus experience, restrictions, and requirements

Books & Records Management

  • OFAC and CIP Compliance streamlined with risk alert submission
  • Distribute official forms for download
  • Electronic forms for compliance questionnaires
  • LaserApp integration to generate and save forms
  • 8 Master reporting groups with 150+ real-time reports