Business Benefits

Managing compliance in wealth management

Our rules engines and workflows simultaneously reduce both compliance risk and the cost of compliance.


Wealth Dynamix solutions allow firms to reduce compliance risk whilst simultaneously making major gains in efficiency. 

At Wealth Dynamix, we understand that compliance is not an option, it’s a necessity. For many firms, however, meeting their compliance obligation efficiently and cost-effectively remains a major challenge and one that is putting increased pressure on already tight profit margins. It’s exactly the sort of challenge Wealth Dynamix’s CLM solutions have been designed to solve.

Here’s just some of the recent results our clients have experienced

- 0 %
in front-office administrative tasks
- 0 %
in onboarding time
+ 0 %
in prospect conversion



A wide scope of coverage

Our compliance solutions allow firms to cover a wide set of compliance requirements within a single solution including:

  • Know Your Client (KYC) – Digitised KYC including dynamic KYC forms, full modelling and visualisation of a full range of client structures, ultimate beneficial owner (UBO) identification, digital ID & V, and a wide range of automated screening checks including PEPs, sanctions, and adverse media.
  • Anti-Money Laundering (AML) – Support for a full range of AML-related checks including source of wealth and source of funds, as well as support for enhanced due diligence (EDD) processes.
Efficient data management enhances insights
Prioritisation and next best actions
  • Suitability, Appropriateness & Consumer Protection – Support for digital risk attitude and ESG attitude assessment, as part of wider checklists of suitability and appropriateness considerations, assessed and evidenced directly within the solution. Support for other consumer protection-orientated regulations such as Consumer Duty.
  • Record Keeping – Wealth Dynamix solutions can provide a single source of the truth for all customer data, documents, and interactions, supporting firms in their record-keeping obligations for both existing customers and offboarded customers.
  • Data Privacy – Wealth Dynamix solutions make it easier for firms to manage consent, preferences, and data privacy-related customer requests.
  • Tax Avoidance – As well as supporting the structure capture of key tax-related data (tax-identified numbers, tax residencies, etc), Wealth Dynamix solutions also reduce the burden of complying with tax avoidance regulations through indicia identification and tax document collection and generation capabilities.
Wealth Dynamix workflows manage suitability assessments automatically
Manage complex HNW and Corporate Relationships

Digital compliance data collection

Wealth Dynamix solutions also provide the option for customer data and documents to be gathered via customer-facing digital tools, reducing the internal overhead associated with gathering the full scope of data and documents that can be required to satisfy a firm’s compliance obligations.

Truly intelligent operation

Wealth Dynamix compliance solutions are truly intelligent, understanding what checks need to be conducted against a given record in a given scenario. The solution understands where the scope of KYC data or document collection might need to vary, or where suitability assessment may not be required due to the client categorisation, or where an escalation is required due to exceeding a particular risk threshold.

Wealth Dynamix embeds compliance for every client and every action
Wealth Dynamix provides real time compliance checks

Real time

The solution provides a real-time view of compliance; of compliance checks against a given record, or compliance activity across an entire team, or trends and insights. With Wealth Dynamix, the ability to actively monitor in real-time helps businesses to be confident that they are always one step ahead. 

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