Client Profile

A regulated financial services firm providing private trust management services for HNI/UHNI families:

• ● Trust engagement onboarding
• ● Governance approvals
• ● Trust deed + ancillary documents
• ● Signing coordination
• ● Post-execution trust administration

Users: Advisory/Front Office, Legal, Trust Ops, Risk/Controls, Approving Committee.

Business Challenge

Workflows were fragmented across email, spreadsheets, and shared drives, leading to:

• ● Poor real-time visibility into stage/status and ownership
• ● Manual document drafting + weak version control
• ● Approval decisions scattered across emails
• ● Higher operational risk due to unmanaged exceptions (e.g., adverse screening hits)

Core need: a standardized, gated, auditable workflow with role segregation.

Objectives

Workflow

• ● Stage-driven onboarding and drafting in Salesforce
• ● Screening + governance control gates
• ● Role-based task routing and SLAs
• ● Exception handling with evidence + approvals

Documents & Governance

• ● Template-based generation (Word) with versioning
• ● Multi-level approvals with audit trail
• ● Central artifact repository
• ● MIS dashboards for ops and risk

Solution Overview (Salesforce)

Salesforce as the core platform across advisory, legal, and operations:

• ● CRM + engagement pipeline
• ● Workflow automation: stage gating, approvals, SLAs
• ● Document generation + versioning (CLM)
• ● Integrations: SSO + background screening API
• ● Dashboards: operations MIS + governance oversight

End-to-End Process (Gated Flow)

Stage 1 — Initiation

Client + engagement setup, minimum data capture, ownership assignment, family accounts → Guided path, validations, tasks for missing info

Stage 2 — Background Screening (Gate 1)

Capture mandate holders/signatories → trigger screening → API callouts, adverse-hit alerts, “cannot proceed” gating unless cleared/exceptional

Stage 3 — Governance Note (Gate 2)

Capture profile + scope + fees → generate governance note → multi-level approvals → Template generation, versioning, approval routing, resubmission loop

Stage 4 — Engagement Letter / Mandate Docs

Draft → review → finalize → execute signing; amendments via controlled change flow → CLM template selection, document versions, field locking post-signing

Stage 5 — Trust Deed + Ancillary Docs

Capture trust parties → generate deed(s) → execute → checklist completion → Support multiple deeds per engagement, gold-copy control, completeness tracking

Stage 6 — Trust Administration (Ongoing)

Trust master + lifecycle updates + milestones/events → Recurring alerts, follow-up tasks, approvals for sensitive lifecycle actions

Tech Design Highlights

Data model

• ● Standard: Account/Contact, Opportunity, Case, Contract, Activities, Financial Account, Interactions
• ● Custom: Trust, Trust Parties, Milestones/Events, Screening Check, Document Clauses

Automation

• ● Flows: gating, task creation, SLA/ageing, post-approval locks
• ● Approvals: structured comments + auditability
• ● Apex/LWC (where needed): screening API, document console UX

Security & Audit

• ● Segregation of duties: advisory vs legal vs ops vs risk
• ● Status transitions + approval trail + document version history
• ● Integration logging + evidence stored as Files

Outcomes (Qualitative)

• ● Single source of truth for status, approvals, and artifacts
• ● Faster turnaround via routing, alerts, standardized templates
• ● Lower operational risk with gated controls + audit trails
• ● Better governance visibility through MIS dashboards

Adoption metrics

• ● Engagements/year: 150
• ● Docs/month: 120
• ● Cycle time improvement: 50%
• ● Users: 25