Prime Brokerage Account Opening

Workflow Template

Prime Brokerage Account Opening

This workflow template illustrates the initial setup and opening of new prime brokerage customer accounts. 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 Prime Brokerage Account Opening processes.

Related KPIs : New Brokerage Accounts Opened per Prime Brokerage Employee, Number of Prime Brokerage Client Accounts, clients per Registered Investment Advisor

What is Prime Brokerage Account Opening?

The Prime Brokerage Account Opening process involves the initial setup and opening of new prime brokerage customer accounts. This process includes customer account opening request reception, customer information collection (contact customer, if needed, to obtain any missing information or documentation), submission of information to prime brokerage compliance group, account number assignment and initial funds transfer. Ensure that the customer is notified when the account is opened. Prime brokerage services are typically provided by most large brokers to other large institutions and hedge funds.

Download a Sample Prime Brokerage Account Opening

Frequently Asked Questions

Q: How do you create your Workflow Templates?

A: From real-world consulting engagements with Fortune 500 leaders. We’ve spent 25 years analyzing operations at hundreds of leading companies worldwide, documenting thousands of business processes at precise levels of detail. We’ve anonymized this data—drawn from millions of dollars’ worth of consulting assignments—and have made it available to you in easy-to-use templates at affordable OpsDog prices.

Q: What can a Workflow Template do for me?

A: Boost productivity, efficiency, and service levels! Broken business processes—marked by manual workarounds, downtime, and errors—are all too common. Many businesses write off this waste as “the cost of doing business.” But you know better than that! Simply select the OpsDog Workflow Template that best fits your situation, tweak it to your liking, and then use it to train employees, identify process improvements, inform an IT project, or re-design a workflow. That’s a lot of power in your hands, cheap!

Q: What’s in the box when I buy one?

A: Three handy versions, all in one zipped file. It’s yours to download immediately upon purchase, and includes your chosen Workflow Template in PDF format, plus Microsoft PowerPoint (which you can edit), and Visio (which you can also edit).

Q: Your download-able templates look great. But I need something custom. Can you help?

A: Heck yes. Our analysts would be happy to provide you with a more detailed Workflow Template than what we offer for instant download. We can also develop an entirely new, customized Workflow Template to fit your business; we specialize in this stuff and would love to help you! Simply email us ( or call us at 866.650.2888 and one of our friendly professionals will be happy to answer all your questions.

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