Finance · Client Services & Case Management
Client verification & identity check SOPs
A step-by-step internal procedure telling client service staff how to confirm a client's identity and verify their documents before opening or servicing an account.
What it usually contains
- Accepted forms of photo ID and proof of address
- Steps for verifying individuals versus companies, trusts, and joint accounts
- Rules for certified copies, expired documents, and remote or video verification
- Escalation triggers for mismatches, high-risk clients, and politically exposed persons
- Record-keeping, re-verification timing, and staff sign-off requirements
What the assistant uses it for
Use it to answer what documents a client must provide, who can verify them, and what staff should do when identification is incomplete, expired, or doesn't match records. It also covers how long verification records are kept and when a client must be re-checked.
How it is versioned
A document of this type has exactly one current version at a time. Upload a revision and it becomes the version that counts — the one before it is kept and dated, but is no longer what your assistant answers from. Nothing is ever deleted, so you can always show what this document said on a given date.
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