Financial services

Financial records are controlled, centralized, and managed with consistency to improve compliance and efficiency.

Financial services document control

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.

Financial services document control features

Records Policies

Manage documents, email messages, and files according to defined records management policies.Learn More »


Capture a history of all changes and actions with a complete audit trail logged in the system.Learn More »

Versions and Revisions

Capture a history of all document changes and control who has access to version and revision history.Learn More »


Define and automate repeatable process steps using document workflow with notifications and approvals.Learn More »

Digital Signatures

Eliminate manual steps and capture digital signatures with DocuSign or Adobe Acrobat integration.Learn More »


Find the files you need fast with instant full-text and metadata document searching. Use advanced search criteria.Learn More »


Manage and control who has access to files with robust and flexible security options.Learn More »


Make quick and accurate decisions with ability to analyze metrics, workflow details, and more.Learn More »

Document Imaging

Scan and convert existing quality records to digital format and make them searchable with document scanning.Learn More »

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.

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Case study

Genesis Financial Solutions uses Document Locator to create a paperless office environment.Read now »

Records compliance

Manage files according to compliance and regulatory standards across a range of areas.Learn more »

Document Locator

Enterprise document management software built for Windows and the Web.Learn More »

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Be ready for the next audit.

Be ready for the next audit

Automate document control procedures to comply with quality and compliance standards including ISO, FDA, HIPAA, and more.
HR files under control

Employee files under control

Manage employee files, automate workforce procedures, take command of forms, policies, and more.
Project file management

Structured project files

Automate project folder creation, document reviews and approvals, track status over time, and monitor activity through reports.
Manage business operations

Automate business processes

Automate the flow of documents and information to define, optimize, and control repeatable business processes.

Ready for a Demo?

Take the first step towards streamlining your processes and enhancing collaboration with Document Locator. Request a demo today and discover how our document control solution can help your organization.

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