A Quick Walkthrough of a CRM System for Financial Adviser

1. R O H A N P U R A N D A R E
FINANCIAL
ADVISOR CRM

2. PROBLEM STATEMENT
1)A financial services company provides finance for the different needs of individuals and businesses. The company has its
headquarters in New York and a number of branch offices across the USA. The company is facing the following issues:-
a. No proper system to capture details of the borrower and thereby communicate with the borrower post providing finance.
b. Delays in document processing lead to frustration of clients. Some of them turn away to competitors for future financial needs.
c. Inefficient system to track the operations or business generated by branch offices.
The company has approached you to analyze their business needs and recommend IT solutions for improvement. As a business
analyst, you are required to capture requirements for the new IT system that will resolve the above issues being faced by the
company.
Based on this brief and your knowledge and your experience with financial institutions in general, do the following:
1)Identify the important components and features of this software.
2)As part of your analysis, you may have questions that will help you design the solution. List such questions wherever necessary.
3)While defining the solution, you may need to make certain assumptions. State those assumptions clearly.
4)For anyone scenario
a. Draw a wireframe.
b. Write a use case.

3. CLIENT
QUESTIONS

4. QUESTIONS
• Will the implementation on-Premises or Cloud-based?
• How many users will be there initially?
• How will be the flow for the New Client?
• What will be the cliental type? Individual, Household or an Organization?
• Will there be any Client Categories? As per their borrowings or AUMs?
• What is the ideal lead time for Document Processing once the client submits the documents? (on that basis the
notification to the advisor will be scheduled to complete the process)
• Will the client be tagged as per the branch? If Yes, What will be the procedure to transfer clients from one branch to
another?
• Will the client have the access to the system to view his details? (will it be Web-based or Mobile based)
• Will there be any action for the client? Like uploading documents, approvals?
• For the Single Sign-on purposes we will require the AD details.

5. PRODUCT
FEATURES

6. FEATURES
 Dashboards
 Single glance view of all tasks which are allocated to the advisor for today and upcoming days.
 AI Smart automation
 Automatically Manages Dates, Notifications and the Marketing Content
 Pipeline tracking
 Keeping Track of all the deals which are with the Advisor and always keeping him posted about it.
 Compliance management
 Track every email, document, meeting, and note for rich client records in one secure location.
 Enterprise workflow engine
 Unlock pre-built workflows for account openings, annual client reviews, and more.
 Document Handler
 Easily access any of the client documents to further sharing and approval process.
 Analytics & Reporting
 Monitor team sales performance and revenue tracking, all on a near real-time basis.
 Mobility
 Access all the data from the device of your choosing right from a hand-phone to desktop computer
 Third Party Integrations
 Easily integrated with third-party applications which help in enhancing the user experience.

7. WIREFRAMES

8. DASHBOARD

9. NEW CLIENT
https://framer.com/projects/Financial-CRM--yN43Ouy0KC0OG3JmqDQB-2xdCa