Industries

Financial services move ahead with document management

Financial documents are stored and managed to improve the competitiveness of every financial services firm.


Document Locator is electronic document control and automation software for insurance, banking, wealth management, mortgage, and other financial services firms. Paper documents are converted to digital files, joining electronic documents in a single, unified and secure document management system. Everything is searchable and immediately retrievable.

Automate financial document processes

Behind nearly every financial document is an important process. Documents are routed for reviews, submitted for approvals, organized for retention, and more. From a simple approval action, to a sophisticated multi-step process with complicated branch decisions, Document Locator's document workflow eliminates the inefficiency of manually-driven tasks. Document processes are automated in defined workflows, improving the speed, accuracy, and audit-ready accountability of procedures and outcomes.

Comply with financial regulations

The burden of regulatory and compliance requirements weigh heavy in the financial services industry, with everything from Sarbanes-Oxley (SOX), FRCP, SEC, IRS, Graham-Leach-Bliley, the Patriot Act, and other laws and regulations playing a critical role. Effective control and management of documents within the scope of regulatory requirements is essential to avoiding penalties and potentially severe financial consequences. Document Locator's document control capabilities, including security, workflow, records policies, and more, provide the tools needed to manage financial documents in compliance with regulations.

Benefits of Financial Services Document Management

  • Centralized document repository with security
  • Automated workflow for reviews, approvals, and process steps
  • Audit logging of document activities
  • Annotations, redactions, and digital signatures integrations
  • Document control components for regulatory compliance requirements

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