Investment Management Client Services Process Workflow Template (Retail and Institutional)

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Overview: Investment Management Client Services Workflow Template

This workflow template illustrates the development of investment strategies and the execution of transactions for retail (private wealth management) and institutional clients. Purchase and download this template in PDF, PowerPoint (PPT) and Visio (VSD) formats. You can customize it to fit your own organization, or simply use it to better understand Investment Management Client Services processes.

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Process Details and FAQ: Investment Management Client Services

What is included in the Investment Management Client Services process?

The Investment Management Client Services refers to a set of processes and tasks related to developing investment strategies for investment management customers. This process differs slightly for retail (private wealth management) and commercial, or institutional, clients. Financial advisors initially work to collect information related to the client's goals and risk appetite. After they have the required information, they develop and present investment options to their client. If the client approves the strategy, the financial advisor sends the details of the transaction to the trading desk (or executtes the transaction electronically) for execution.

Which KPIs, or metrics, are typically used to measure this process?

The following metrics may be used to measure the Investment Management Client Services process:

  • 1.Average Length of Customer Relationship (Wealth Management)
  • 2.Customer Retention Rate (Wealth Management)
  • 3.Lifetime Customer Value (Wealth Management)
  • 4.Revenue per Account: Wealth Management
  • 5.Wealth Management Revenue as a Percentage of Total Revenue

Which employees and/or departments are involved in this process?

The following parties are typically involved in the Investment Management Client Services process:

  • Customers
  • Financial Advisors (for Retail or Institutional Clients)
  • Client Services Staff (Back Office)
  • Trade Operations & Support Staff

What is the purpose of these workflow templates?

Broken business processes pervade companies, large and small. Manual workarounds, downtime, errors and other waste is thought of as "the cost of doing business." Use our workflow templates as a starting point to document your own processes. Customize them to fit your business and add "call outs" for improvement opportunities.

How are these workflow templates created?

These workflow templates are the product of over 20 years of hands-on management consulting experience, as well as research performed by the OpsDog team. All of our workflows are mapped using the BPMN 2.0 specification.

How do I download a workflow template?

Simply click the "add to cart" button and follow the process to purchase and download this workflow template. You can use any major credit card, or a PayPal account, to pay. After you have completed the purchase, you will receive a link to immediately download the workflow template in PDF, Visio and PowerPoint formats. If you aren't a registered OpsDog user yet, create a free account! New users get $20 off of their first purchase.

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  • Workflow Template


    Investment Management Client Services

    - Instantly download files
    - Includes PDF, VSD, PPT file formats
    - Customize PowerPoint, Visio versions
    - Mapped in BPMN 2.0 format


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