Financial Services Workflow Automation Use Cases
The financial services industry presents significant levels of risk, and these risks can hold organisations back. But by effectively managing regulatory and legal risks, businesses can quickly turn things around.
Workflow automation is a huge area of advancement in the financial services industry, and it’s already making a real difference to a vast number of organisations. Through workflow automation, financial services companies can rapidly improve the efficiency of all processes. And that brings immeasurable benefits for both stakeholders and customers.
Automated workflows are fully transparent and encourage the cooperation of teams, helping to drive new opportunities and boost revenue. Explore the possibilities of automation to learn more.
Financial Services
Onsite Visit Request Approval
Manage and assess requests from employees and contractors to access the office for various purposes.
Firm Diversity Review
Ensure outside counsel and firms are able to continue servicing your company as usual.
Self-Service NDA
Automate the NDA submission and review process to eliminate inefficiencies, improve compliance, and reduce ...
Legal Vendor Continuity
Ensure outside counsel and firms are able to continue servicing your company as usual.
Law Firm Continuity
Ensure outside counsel and firms are able to continue servicing your company as usual.
Case Continuity Tracker
Ensure outstanding cases are not in jeopardy and that work toward their completion is still in progress.
Remote Work Tracker
Review WFH requests, track week-to-week status, and any infectious disease issues precluding their being on...
Request for Business-Critical Travel
Quickly deploy a workflow allowing you to filter and respond to employee travel requests.
Vendor Onboarding with Privacy Review (KPL)
Vendor compliance is a critical component of security and privacy compliance. TAP Workflow Automation can s...
Data Inventory and Recertification Request (KPL)
GDPR Article 30 requires companies produce records of processing activities to prove compliance to regulato...
Data Subject Access Requests
The CCPA and the similar state-by-state regulations that are following ensure that consumers have a stronge...
CCPA Vendor Onboarding
Vendor compliance is a critical component of security and privacy compliance.
Benefits Administration
Human Resources needs a way to gather feedback from employees as to what benefits or perks they would like....
CCPA Data Deletion Request
A workflow for fulfilling consumer requests to have their personal data deleted by an organization.
Conflict of Interest
Effectively address and resolve conflict-of-interest issues that need the ongoing attention of multiple sta...
Data Privacy
An organisation must ensure that consent procedures by which employees agree to the retention of their pers...
Diversity Feedback and Policies
Provide a means for organizations to ask their employees about the organization’s diversity program.
Do Not Sell Request
Automating the processing of consumer requests to opt-out of sale of PI to third parties.
Entertainment Disclosures & Exceptions
Provide a simple, convenient way for executives and staff to report on gifting and entertainment activities...
Legal/Policy Questions
Log, preserve and address employee inquiries and legal responses around the implementation of new policies ...
Policy Exceptions
Simply and effectively track and preserve all communications and documents around policy exceptions in orde...
Regular Compliance Affirmation
Enable stakeholders and policy managers to affirm that key policies and procedures are being followed and c...
Third Party Due Diligence
Create a solution to onboard new vendors, ensuring relevant information is captured, routed, reviewed and a...
Whistleblower
Companies need to provide employees a way to anonymously report activity that they suspect is fraudulent. W...
QBR Scheduling
Automate the process of initiating and scheduling quarterly business review meetings (QBRs) with customers.
Customer Satisfaction Surveys
Create workflows for automatically conducting customer satisfaction surveys to support sales and retention.
New Demo Requests
Automate the process of capturing and scheduling requests for product or service demos.
Marketing Portal
Design workflows to support a central marketing portal where users can go to create and obtain advertising ...
Advertising Fund Requests
Build a workflow enterprises can use to manage requests for funds or budget adjustments for advertising cam...
Gifts & Entertainment Reimbursement
Workflow for processing requests for gifts and entertainment reimbursements for expenses incurred (e.g. tak...
Data Review & Decision Alerts
Develop an agile workflow triggered by specific data monitoring conditions or events.
Hardware & Software Requests
Draft a process for managing requests for hardware or software, and allow those requests and items to be tr...
New Technology Projects
Create a workflow or set of coordinated workflows to efficiently manage development of new technology proje...
Technical Support/Service Requests
Devise an workflow for efficiently logging, fulfilling and reporting requests for technical support or serv...
New User Onboarding
Develop a workflow to streamline the setup of a new employee (or other user) for enterprise IT services.
Software Access Requests
Design a workflow for managing requests for access to an organization’s software platforms or databases.
Incident Reporting
Create an accelerated process for IT incident notification, investigation, resolution and reporting.
Claims Reimbursement
Automate employee insurance reimbursement claims forms and processes.
Employee Tax Return Paperwork
Automate workflows for processing employee tax return forms and paperwork.
Investment Form
Devise a workflow used to submit and process potential new investment opportunities of varying types and va...
Shareholder Agreement
Developing a shareholder request and approval process capable of dealing with multiple shareholder types.
Lost Checks
Build a workflow employees can use to claim lost/damaged checks for reimbursements or payroll.
New Partner Onboarding
Design a workflow for an HR/Finance team to onboard new partners that sign on with their company.
Sourcing Requests
Build automated workflows for managing a variety of RFX processes.
Vacation / Disability Leave Requests
Develop an automated workflow to manage the process of reviewing vacation or sick leave requests.
New Independent Contractor Agreements
Create a workflow for HR to review and process requests for new independent contractors.
Performance Evaluations
Develop an automated workflow to streamline and improve the employee performance evaluation process.
Employee Offboarding
Draft a workflow used to mass offboard any number of employees, including mass offboardings.
Employee Suggestion Box
Create an online “employee suggestion box” and workflow for reviewing submissions.
Employee Onboarding
Automate and accelerate the process of onboarding new employees.
Legal Services Request Portal
Design and launch automated online forms and Legal Ops workflows for efficiently managing legal services re...
Contract Requests
Automate the Legal Ops process for generating a legal contract, whether simple or parts of a complex Contra...
Patent Mining Sessions
Create an expedited process for requesting and setting up Patent Mining Sessions within the organization.
Directors & Officers Liability (D&O)
Develop a Legal Operations workflow enabling users to make disclosures about the director, officer, and adv...
Telework Requests
Build a workflow to expedite the process of employees applying to work remotely.
Conference Participation & Publication Review
Design and publish a request-and-review process for employees seeking to participate in professional confer...
Electronic Signatures
Adopt a highly secure yet simple means for digitally indicating consent or approval on a digital document.
Trademark Infringement Log
Bring automated efficiency and speed to workflows for trademark filings, renewals, and related Legal Ops pr...
Counsel Retention
Design a workflow to manage the process of requesting, drafting, reviewing and authorizing outside counsel ...
Matter Management Intake
Design a dedicated Legal Operations workflow to manage matter management items, ensure compliance and minim...
Developer Agreements
Automate the process of creating agreements for new external developers working on an organization’s projects.
Accelerate your enterprise.
Transform your processes with best-in-class workflow automation.
English 
Deutsch 
English (UK) 
English (Australia) 
Français 
Español de México 
简体中文