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

Financial Services

Legal Vendor Continuity

Ensure outside counsel and firms are able to continue servicing your company as usual.

Financial Services

Law Firm Continuity

Ensure outside counsel and firms are able to continue servicing your company as usual.

Financial Services

Case Continuity Tracker

Ensure outstanding cases are not in jeopardy and that work toward their completion is still in progress.

Financial Services

Onsite Visit Request Approval

Manage and assess requests from employees and contractors to access the office for various purposes.

Financial Services

Self-Reporting Risk Assessment

Quickly deploy a workflow allowing remote employees to report their health and COVID-19 risk status.

Financial Services

Remote Work Tracker

Review WFH requests, track week-to-week status, and any infectious disease issues precluding their being on...

Financial Services

Request for Business-Critical Travel

Quickly deploy a workflow allowing you to filter and respond to employee travel requests.

Financial Services

Vendor Onboarding with Privacy Review (KPL)

Vendor compliance is a critical component of security and privacy compliance. TAP Workflow Automation can s...

Financial Services

Data Inventory and Recertification Request (KPL)

GDPR Article 30 requires companies produce records of processing activities to prove compliance to regulato...

Financial Services

Data Subject Access Requests

The CCPA and the similar state-by-state regulations that are following ensure that consumers have a stronge...

Financial Services

CCPA Vendor Onboarding

Vendor compliance is a critical component of security and privacy compliance.

Financial Services

Benefits Administration

Human Resources needs a way to gather feedback from employees as to what benefits or perks they would like....

Financial Services

CCPA Data Deletion Request

A workflow for fulfilling consumer requests to have their personal data deleted by an organization.

Financial Services

Conflict of Interest

Effectively address and resolve conflict-of-interest issues that need the ongoing attention of multiple sta...

Financial Services

Data Privacy

An organisation must ensure that consent procedures by which employees agree to the retention of their pers...

Financial Services

Diversity Tracking

Provide a means for organisations to ask their employees about the organisation’s diversity program.

Financial Services

Do Not Sell Request

Automating the processing of consumer requests to opt-out of sale of PI to third parties.

Financial Services

Entertainment Disclosures & Exceptions

Provide a simple, convenient way for executives and staff to report on gifting and entertainment activities...

Financial Services

Legal/Policy Questions

Log, preserve and address employee inquiries and legal responses around the implementation of new policies ...

Financial Services

Policy Exceptions

Simply and effectively track and preserve all communications and documents around policy exceptions in orde...

Financial Services

Regular Compliance Affirmation

Enable stakeholders and policy managers to affirm that key policies and procedures are being followed and c...

Financial Services

Third Party Due Dilligence

Create a solution to onboard new vendors, ensuring relevant information is captured, routed, reviewed and a...

Financial Services

Whistleblower

Companies need to provide employees a way to anonymously report activity that they suspect is fraudulent. W...

Financial Services

QBR Scheduling

Automate the process of initiating and scheduling quarterly business review meetings (QBRs) with customers.

Financial Services

Customer Satisfaction Surveys

Create workflows for automatically conducting customer satisfaction surveys to support sales and retention.

Financial Services

New Demo Requests

Automate the process of capturing and scheduling requests for product or service demos.

Financial Services

Marketing Portal

Design workflows to support a central marketing portal where users can go to create and obtain advertising ...

Financial Services

Advertising Fund Requests

Build a workflow enterprises can use to manage requests for funds or budget adjustments for advertising cam...

Financial Services

Gifts & Entertainment Reimbursement

Workflow for processing requests for gifts and entertainment reimbursements for expenses incurred (e.g. tak...

Financial Services

Data Review & Decision Alerts

Develop an agile workflow triggered by specific data monitoring conditions or events.

Financial Services

Hardware & Software Requests

Draft a process for managing requests for hardware or software, and allow those requests and items to be tr...

Financial Services

New Technology Projects

Create a workflow or set of coordinated workflows to efficiently manage development of new technology proje...

Financial Services

Technical Support/Service Requests

Devise an workflow for efficiently logging, fulfilling and reporting requests for technical support or serv...

Financial Services

New User Onboarding

Develop a workflow to streamline the setup of a new employee (or other user) for enterprise IT services.

Financial Services

Software Access Requests

Design a workflow for managing requests for access to an organization’s software platforms or databases.

Financial Services

Incident Reporting

Create an accelerated process for IT incident notification, investigation, resolution and reporting.

Financial Services

Claims Reimbursement

Automate employee insurance reimbursement claims forms and processes.

Financial Services

Employee Tax Return Paperwork

Automate workflows for processing employee tax return forms and paperwork.

Financial Services

Investment Form

Devise a workflow used to submit and process potential new investment opportunities of varying types and va...

Financial Services

CapEx Requests

Develop a workflow to handle capital expenditure requests.

Financial Services

Shareholder Agreement

Developing a shareholder request and approval process capable of dealing with multiple shareholder types.

Financial Services

Lost Checks

Build a workflow employees can use to claim lost/damaged checks for reimbursements or payroll.

Financial Services

New Partner Onboarding

Design a workflow for an HR/Finance team to onboard new partners that sign on with their company.

Financial Services

Sourcing Requests

Build automated workflows for managing a variety of RFX processes.

Financial Services

Vacation / Disability Leave Requests

Develop an automated workflow to manage the process of reviewing vacation or sick leave requests.

Financial Services

New Independent Contractor Agreements

Create a workflow for HR to review and process requests for new independent contractors.

Financial Services

Performance Evaluations

Develop an automated workflow to streamline and improve the employee performance evaluation process.

Financial Services

Employee Offboarding

Draft a workflow used to mass offboard any number of employees, including mass offboardings.

Financial Services

Employee Suggestion Box

Create an online “employee suggestion box” and workflow for reviewing submissions.

Financial Services

Employee Onboarding

Automate and accelerate the process of onboarding new employees.

Financial Services

Legal Services Request Portal

Design and launch automated online forms and Legal Ops workflows for efficiently managing legal services re...

Financial Services

Contract Requests

Automate the Legal Ops process for generating a legal contract, whether simple or parts of a complex Contra...

Financial Services

Patent Mining Sessions

Create an expedited process for requesting and setting up Patent Mining Sessions within the organization.

Financial Services

Directors & Officers Liability (D&O)

Develop a Legal Operations workflow enabling users to make disclosures about the director, officer, and adv...

Financial Services

Self-Service NDA

Automate the NDA submission and review process to eliminate inefficiencies, improve compliance, and reduce ...

Financial Services

Telework Requests

Build a workflow to expedite the process of employees applying to work remotely.

Financial Services

Confere­nce Participation & Publication Review

Design and publish a request-and-review process for employees seeking to participate in professional confer...

Financial Services

Electronic Signatures

Adopt a highly secure yet simple means for digitally indicating consent or approval on a digital document.

Financial Services

Trademark Infringement Log

Bring automated efficiency and speed to workflows for trademark filings, renewals, and related Legal Ops pr...

Financial Services

Counsel Retention

Design a workflow to manage the process of requesting, drafting, reviewing and authorizing outside counsel ...

Financial Services

Matter Management Intake

Design a dedicated Legal Operations workflow to manage matter management items, ensure compliance and minim...

Financial Services

Developer Agreements

Automate the process of creating agreements for new external developers working on an organization’s projects.

Financial Services

New Business Intake

Automate the New Business Intake process for Legal Ops teams and law firms, integrating with other systems ...

Financial Services

Membership Form

Devise a workflow allowing people/organizations to easily apply for membership in a trade organization as e...

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Transform your processes with best-in-class workflow automation.