Client Onboarding and Compliance Documentation
Thumbnails link to full document
Description of the Work
- Thirdside designed a series of ten fully interactive onboarding and compliance forms for Tulett, Matthews & Associates, a Canadian investment advisory firm.
- The project modernized a paper-based process into a digital workflow by integrating programmed formulas, data validation, and dynamic field logic within accessible PDF templates.
- Each document was structured to meet securities regulations and privacy requirements while maintaining brand consistency across client-facing materials.
Objectives of the Deliverable/Project
- Streamline onboarding and compliance documentation through automation and interactivity.
- Improve data accuracy, reduce administrative effort, and eliminate manual entry errors.
- Enhance usability and accessibility for clients and internal compliance teams.
Target Audience
- Investment advisors, compliance officers, and clients participating in onboarding and account management.
Client
Tulett, Matthews & Associates.
Timeframe to Complete the Work
8 weeks from initial form audit to final deployment.
Measures of Success
- Reduced rework and input errors, improved client experience, and simplified audit preparation through standardized digital workflows.
- Specific Role of the Offeror on the Project
- Thirdside led design, field logic programming, and usability testing, ensuring that each form functioned as a cohesive part of TMA’s overall compliance system.
Constraints Imposed by the Client
- All forms were required to meet Canadian securities and privacy regulations, integrate with existing compliance workflows, and maintain TMA’s brand and document architecture standards.
Quality Assurance Process
Each form underwent internal testing for formula accuracy, accessibility compliance, and user experience review with TMA’s compliance staff.
Other Pertinent Information
The project demonstrates Thirdside’s ability to combine design, interactivity, and workflow optimization to support regulatory compliance while improving efficiency and client engagement.