Financial Services
CRM for financial services firms that takes compliance seriously
Purpose-built CRM platforms for IFAs, wealth managers, and financial advisory firms. FCA compliance, client lifecycle management, and regulatory reporting designed into the system from day one.
Sector Challenges
Challenges financial services teams face with generic CRMs
FCA reporting burden
Generic CRMs have no concept of FCA reporting requirements. Your compliance team ends up maintaining spreadsheets alongside the CRM, duplicating effort and increasing risk.
Client lifecycle complexity
Financial advisory relationships span decades and involve suitability assessments, periodic reviews, and regulatory correspondence that contact-centric CRMs cannot model properly.
Data silos between advisory and compliance
When advisers and compliance officers use different views of the same data, inconsistencies creep in. Audit findings become difficult to trace back to their source.
What We Build
What a financial services CRM looks like
FCA audit trail
Every client interaction, recommendation, and decision logged with timestamps and user attribution. Full traceability for FCA inspections.
Client suitability tracking
Structured suitability assessments linked to client profiles, with automated reminders for periodic reviews and risk tolerance updates.
Automated regulatory reporting
Generate FCA-compliant reports directly from your CRM data. No manual compilation, no spreadsheet exports, no reconciliation errors.
Secure document management
Client documents stored securely with version control, access logging, and retention policies aligned to regulatory requirements.
Adviser pipeline management
Track opportunities from initial enquiry through fact-find to recommendation, with compliance gates at each stage of the advisory process.
Regulatory Compliance
Built for FCA, GDPR, and MiFID II requirements
Financial services firms operate under some of the strictest regulatory frameworks in the UK. Your CRM must support compliance, not hinder it.
FCA conduct of business rules embedded into client management workflows, ensuring suitability and disclosure obligations are met at every stage.
GDPR data subject rights built in, including automated data retention schedules, consent tracking, and subject access request handling.
MiFID II transaction reporting and record-keeping requirements integrated into the CRM data model, reducing manual compliance overhead.
Financial Services CRM
Ready to replace spreadsheets with a proper compliance workflow?
Book a free discovery call. We will discuss your FCA obligations, your current pain points, and whether a bespoke CRM is the right investment for your firm.
Book a Discovery Call