Investment Escrow Account Management
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.
What is Investment Escrow Account Management?
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.
Download a Sample Investment Escrow Account Management
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