Financial Services & Accounting
Reviewable automation with full audit trails.
Finance and accounting teams lose hours to document chase, system handoffs, and report assembly. I design policy-aware workload automation that moves routine work across QuickBooks, Xero, CRM, email, and portals while keeping human review gates and inspectable audit trails.
Operational map
Policy-aware onboarding and period close: documents, ledger handoffs, human review, audit trail
Connected systems
QuickBooks
Xero
Wave
Coordinated workflow
New client or engagement starts from
an approved intake form. Required documents, entity type, and service scope are listed with portal upload, not a vague email ask.
Automation validates completeness against the firm's
checklist. Missing W-2s, statements, or signed agreements trigger specific follow-ups through the approved mail or portal channel and stop when each item is accepted.
Identity or custodian checks the firm
requires run only through its approved provider. Results, timestamps, and audit IDs are stored with the engagement record, not pasted into a personal inbox.
Context before connectors
Financial-services requirements depend on whether the firm is an SEC- or state-registered adviser, broker-dealer, accounting firm, or dual registrant. A generic chatbot or unreviewed AI write-back is the wrong starting point for client data, books, or customer communications. I implement finance automation consulting around the firm's approved policies: which fields may move automatically, which actions need named approval, how records are retained, and how exceptions surface for supervision. Typical builds connect intake portals, DocuSign packets, QuickBooks or Xero ledgers, CRM records, and Microsoft 365 or Google Workspace mail so document requests, status updates, and recurring report packages stop living in personal inboxes. Deterministic checks, checklist enforcement, and timestamped evidence support financial audit automation and internal review; tax positions, investment recommendations, payment release, vendor bank-detail changes, and engagement acceptance stay with qualified people. The work is systems integration and workload automation for financial services,not legal advice, not an SEC compliance attestation, and not a substitute for the firm's compliance or legal review of final configuration.
Relevant experience
15+ years of commodities and currency trading experience. 8+ years in crypto markets. Deep understanding of financial compliance workflows, audit requirements, and regulatory reporting.
Problems I solve
Client onboarding and accounting intake stall when KYC packets, tax docs, and signed agreements bounce between email, a portal, CRM, and the general ledger with no single completion state.
Workload automation is missing for repeatable close, billing, and reporting steps, so staff rebuild the same QuickBooks/Xero-to-CRM-to-spreadsheet handoff every period.
Financial audit and supervision reviews spend time reconstructing who approved what, because evidence is scattered across mail threads instead of a timestamped checklist with exception notes.
Customer and client communications about missing documents, statement readiness, or review status are inconsistent, hard to retain for policy review, and easy to drop when volume spikes.
Policy-aware onboarding and period close: documents, ledger handoffs, human review, audit trail
Workflow
- 0101
New client or engagement starts from
an approved intake form. Required documents, entity type, and service scope are listed with portal upload, not a vague email ask.
- 0202
Automation validates completeness against the firm's
checklist. Missing W-2s, statements, or signed agreements trigger specific follow-ups through the approved mail or portal channel and stop when each item is accepted.
- 0303
Identity or custodian checks the firm
requires run only through its approved provider. Results, timestamps, and audit IDs are stored with the engagement record, not pasted into a personal inbox.
- 0404
Accepted document metadata and deterministic field
mappings prepare CRM and QuickBooks or Xero records. Ambiguous extractions, duplicate suspects, and new vendors route to a named reviewer instead of silent write-back.
- 0505
The firm's supervision checklist auto-populates
Rule-based checks run automatically; exceptions, engagement acceptance, pricing overrides, and any payment-related change require qualified human approval with an immutable who/when record.
- 0606
For recurring accounting work
period tasks open from the client template: bank-feed arrival, unreconciled flags, missing support, and review-package assembly. Period lock or reopen follows named authority only.
- 0707
Client communications (welcome packet
missing-item reminders, statement-ready notices) use approved templates and retention so compliance can inspect what was sent without reconstructing mail history.
- 0808
A single audit trail ties documents
system handoffs, approvals, exceptions, and outbound messages together so internal review and external examination start from evidence, not archaeology.
Systems in the workflow
Related services
Related resources
Case studies
Use cases
Financial Services Firm Automation Checklist
Use this checklist to find the onboarding, document and review work in your advisory, accounting or insurance firm that can be automated without losing control. Tick each item that is still manual.
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