Investment Escrow Account Management Business Process Workflow Template

OpsDog Investment Escrow Account Management Workflow - Preview Image

Overview: Investment Escrow Account Management Workflow Template

This workflow template illustrates a series of tasks related to managing and maintaining investment management customer escrow accounts, including account opening, compliance review/monitoring and account closures. Purchase and download this template in PDF and Visio (VSD) formats. You can customize it to fit your own organization, or simply use it to better understand Investment Escrow Account Management processes.

Download a Free Sample of this Workflow Template

Process Details and FAQ: Investment Escrow Account Management

What is included in the Investment Escrow Account Management process?

The Investment Escrow Account Management processes are aimed at ensuring that investment management customer escrow accounts are properly maintained and in compliance with all federal regulations. When the account is opened, an escrow services agreement is signed by the client and the financial institution performs a series of compliance checks prior to activating the account, including Know Your Customer (KYC) data collection/entry. Throughout the life of the account, the financial institution monitors account activity to identify and act upon any suspicious activity.

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

The following metrics may be used to measure the Investment Escrow Account Management process:

  • 1.Revenue per Account: Wealth Management
  • 2.Total Volume: Escrow Account Closure
  • 3.Total Volume: Escrow Account Compliance Reviews
  • 4.Total Volume: Escrow Account Opening
  • 5.Total Volume: Suspicious Activity Reports (SAR)
  • 6.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 Escrow Account Management process:

  • Customers
  • Client Services Staff (Back Office)
  • Compliance & Risk Management 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 and Visio (VSD) file formats. If you aren't a registered OpsDog user yet, create a free account! New users get $20 off of their first purchase.

Questions?Call: 844-650-2888Email:
  • Workflow Template


    Investment Escrow Account Management

    - Instantly download files
    - Includes PDF, VSD file formats
    - Customize the Visio (VSD) version
    - Mapped in BPMN 2.0 format


    Call: 844-650-2888


Related Products

Looking for a custom solution?

OpsDog’s remote analytical team can provide custom, high quality data, reports and analysis for your organization with low cost and risk. Custom solutions include:

Questions?Call: 844-650-2888Email:

Let's find a solution that works for you. Fill out the form below and an OpsDog team member will contact you shortly to learn more about your needs...

Need help?
Call: 844-650-2888
Tax will be calculated in the purchase step.
Continue to Payment
Please login to continue your purchase
Need help?
Call: 844-650-2888
Need help?
Call: 844-650-2888
Back to Top